FINRA’s Budget, Released for First Time, Shows Revenue Problems
By Melanie WaddellThe regulator plans to use cash reserves instead of raising fees to cover the shortfall.
January 17, 2018
Why Are So Many Advisors Leaving Wirehouses?More and more lower-producing FAs are seeking greener pastures as comp structures change. But bigger producers are leaving, too.
January 17, 2018
As Hate Groups Embrace Bitcoin, Advisors Warned to Check Out ClientsIt could damage a firms public image, and may run counter to internal ethics policies, according to several law professors.
January 17, 2018
The New 20% Pass-Through Tax Deduction: An Advisor’s GuideLets cover some of the basics of this complicated provision so you can be sure to relate the correct information to your clients.
January 16, 2018
Working With an Advisor Boosts Investor Confidence: SurveyHere's what investors look for in advisor and what they're trying to accomplish, according to the Million Dollar Round Table.
January 12, 2018
Goldman, Morgan Stanley Fined as Fed Ends Foreclosure CasesFive banks were sanctioned and will pay a combined $35.5 million; one of the banks once run by Treasurys Mnuchin, OCCs Otting.
January 12, 2018
JPMorgan’s Quarterly Tax Pain Should Lead to 2018 GainsBank could see earnings balloon by $3.5 billion based on cuts; trading revenue falls 26%, fueled by drop in fixed income.
January 12, 2018
FINRA Plan to Rid BDs of Advisor Liability Would Hit Firms’ Fee RevenueThe plan is a good-news, bad-news story, recruiter Jon Henschen says.