SEC Releases Another Updated FAQ on Custody Rule
By Melanie WaddellCipperman urges SEC to stop issuing custody rule FAQs and rewrite the rule instead.
June 21, 2018
5th Circuit Issues Order to Kill DOL Fiduciary RuleU.S. Appeals Court for the 5th Circuit cited groups' objections on "multiple grounds" to Labor's fiduciary rule.
June 21, 2018
Winning the Talent Wars Key Among SEC's GoalsThe SEC is seeking to shore up its performance with new hires.
June 20, 2018
Stifel Loses $630M Teams to Janney, Raymond James: Recruiting RoundupMeanwhile, more reps leave Wells Fargo for rival broker-dealers; LPL Financial and Commonwealth share their latest recruiting news.
June 20, 2018
2 Ways Smaller Advisory Firms Can Woo Young AdvisorsToday's up-and-coming reps want more than a paycheck, and smart teams know how to use this fact to their advantage.
June 19, 2018
Commonwealth Scores a Workplace AccoladeTech magazine Computerworld ranks Commonwealth Financial the fifth best place to work for IT professionals.
June 19, 2018
Fi360 Acquires Center for Fiduciary ManagementCFFM offers four flagship products that are widely used among financial advisors.
June 18, 2018
SEC Chairman Is 'Sick' of How Much Retail Fraud There IsChairman Jay Clayton says that brokers should create a culture that doesn't accept lying — even when the law allows it.