FINRA Hits BD for Reps' Excessive and Unsuitable Trading: Enforcement
By Emily ZulzIn another enforcement action, the SEC charged a sales assistant with taking funds from brokerage customers.
April 25, 2019
SEC Extends BDs' Compliance Deadline With Amended Reg NMSBroker-dealers told the agency they need more time beyond the May 20 deadline.
April 25, 2019
UBS Seeks More Deals Among U.S. BillionairesFirm will also seek a greater share of the middle market after reporting steep slump in merger fees, equity underwriting.
April 25, 2019
Here's How FINRA Spent Its 2018 Fine MoneyThe BD self-regulator shares for the second year projects supported by sanctions.
April 25, 2019
Anthem's CEO Refers to 'Brokers' 4 TimesBut the company's CFO said that, if the company makes a deal, it would probably buy a Medicare plan provider.
April 25, 2019
Drug Makers' Charity Allies Help Their Fight to Keep Drug Prices HighOne 'nonprofit coalition' publishes op-eds blasting health insurers for trying to steer patients to cheaper therapies.
April 25, 2019
Janney, RBC Wealth Add Reps From Rivals: Recruiting RoundupPlus, Securities America and CUSO Financial recruit groups with $200 million and $603 million, respectively.
April 24, 2019
Prudential and AIG Announce $3.3 Billion in Group Annuity SalesPrudential made deals with several U.K. sponsors; AIG, with Avery Dennison.