SEC Reg BI Would Make It 'Substantially Easier' to Bring Enforcement Actions: Peirce
By Melanie WaddellThe agency's proposed Form CRS also "suffers from a paper-centric and regulator-centric status quo," SEC Commissioner Peirce said.
October 15, 2018
Is Private Equity Bad for Broker-Dealers?PE is filling the void left by insurance companies. There are some benefits, but it's not always pretty.
October 15, 2018
TD Ameritrade Now Educating Investors With VRThe virtual reality tool is intended to show investors what stock and options exchanges, as well as a Bitcoin mine, are really like.
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 15, 2018
Orion Users Now Can Use FinMason's 5-Minute Financial PlanFinMason CEO Kendrick Wakeman says integration places advisors "80% of the way" to what full-blown financial planning software provides.
October 12, 2018
With Questar-Woodbury Deal, What's Next for Insurance-Owned BDs?Which BD in this space will be sold next? A recruiter weighs in.
October 11, 2018
Is DOL Rule on Health Plans Bad? Bloink & Byrnes Go Thumb to ThumbWe asked Bloink and Byrnes, who hold opposing political viewpoints, to share their opinions on the proposed rule, which is expected to be finalized in the coming months.
October 10, 2018
Why Indie Advisors Benefit From Indie AdviceIn the advisory business, conflicts can arise from financial institutions getting into business consulting. It's worth asking questions about these relationships and how these consultants are compensated.