FINRA Seeks to Ease Worries on New Home Office Rules
By Melanie WaddellSome BDs are incorrectly saying their workers will be required to return to the office full time, FINRA says.
May 23, 2024
T+1 Starts Tuesday. Be Ready, SEC Chief WarnsGary Gensler extolled the benefits of the conversion, but also urged firms to perform all necessary testing.
May 23, 2024
Schwab to Launch Alts Platform for Individual InvestorsThe new platform is aimed at qualified, self-directed investors with more than $5 million in assets.
May 23, 2024
LPL Adds $4.6B Lincoln Team, $705M Merrill DuoPilot Financial of North Carolina moves with 105 advisors, while the ex-wirehouse duo is based in Oklahoma.
May 23, 2024
Summer CFP Training Program Registration Closes WednesdayThe program for college students, new advisors and career changers covers 500 standard pathway experience hours.
May 23, 2024
Cannex and Luma Create Annuity Shopping Tool for AdvisorsAnother company, Hexure, has added annuity quoting to its FireLight electronic application system.
May 23, 2024
Gorman to Step Down as Morgan Stanley Chairman at Year-EndThe decision to step down after giving up the CEO role in January is seen as a vote of confidence in CEO Ted Pick.
May 22, 2024
Schwab Defends App After Rival Exec Says It 'Sucks'Amid complaints its app "sucks," Schwab says things are going well with users who have migrated.