Here's How FINRA Defines a 'High-Risk' Broker
By Melanie WaddellThe regulator looks at a number of factors to make an assessment, says head of member regulation Mike Rufino.
May 22, 2018
House Approves Biggest Rollback of Dodd-FrankThe bill, already approved by the Senate, will almost certainly be signed by the president who has railed against financial regulation.
May 22, 2018
Will SEC's Broker Conduct Rule Work? BDs, Attorneys Weigh InBrett Redfearn, director of the SEC's Trading and Markets division, urged BDs to comment on the agency's standard of conduct proposals.
May 22, 2018
Indexed Annuity Sales Jump: LIMRASales of variable annuity separate accounts also rose.
May 22, 2018
CFP Certification Exam Will Test Knowledge of New Tax LawQuestions about the new tax law won't be included in the CFP test until the November exam.
May 22, 2018
5th Circuit Again Denies States' Intervention in DOL Fiduciary Ruling"The panel has considered the motion for reconsideration. It is ordered that the motion is denied."
May 22, 2018
Global Dividends Make a Strong Start for 2018: Janus HendersonJanus Henderson's Global Dividend Study finds that payouts increased 10.2% for the first quarter.
May 22, 2018
Envestnet Financial Fitness App Will Include Robo-AdviceFinancial.fit will take a gamification approach to educate plan participants, then give them the option of taking action.