Sen. Warren Leads Query to SEC, FINRA on Sexual Harassment in Finance
By Melanie WaddellThree female senators are probing the SEC and FINRA on how widespread sexual harassment is in the financial services sector.
March 01, 2018
Why Has the Number of FINRA Firms Declined?Many of the firms that left shouldn't have been in business in the first place, Susan Axelrod says.
March 01, 2018
Equifax to Notify 2.4 Million More Consumers Affected in HackThe customers were among the 145.5 million people whose identities were stolen last year.
March 01, 2018
i65 for Advisors Tackles Medicare MazeThe software lets advisors guide their clients into choosing the most appropriate Medicare coverage.
March 01, 2018
FINRA Plan on Outside Business Activities to Spark 'Much Debate'FINRA floated a rule Wednesday to free broker-dealers of liability for investment advisors' outside business activities.
March 01, 2018
Galvin Expands MetLife Pension Probe to Other FirmsA probe in Massachusetts found hundreds of retirees are owed pensions by MetLife. Now the state is investigating Prudential, Transamerica, Principal Financial and MassMutual.
March 01, 2018
More Universal Life Premium COI Hikes Are Coming: AnalystLife settlement investors care, deeply, about the cost of keeping coverage in place. They expect that cost to rise.
March 01, 2018
'Burn the Business Plan' When Starting Your Own Firm: Carl SchrammThe venture investor tells ThinkAdvisor why you don't need a business plan and how to avoid becoming one of the 4 in 5 startups that fail.