FINRA Advances CARDS Proposal, But With an Ear to Industry
FINRA has issued a long-awaited regulatory notice outlining the proposal for a controversial data-sharing system known as CARDS, asking for comments from the industry and other stakeholders.
More in Independent BDs
At an advisor summit, the industry group urges members to reach out individually to lawmakers to fight regulatory plans. more »
The SEC has initiated an administrative proceeding against an advisor who allegedly misappropriated around $2 million of investors' funds in a scheme dating to 2008. more »
Female executives from U.S. Trust and Goldman Sachs join New York-based Dynasty Financial Partners. more »
Schorsch makes big changes to the firm's executive team with a new CEO as well as the hiring of longtime LPL exec Bill Dwyer. more »
In which the author takes a pair of popular assessments and finds he’s not as daring as he thought he was. more »
Brad Bueermann of FP Transitions says you should go with the right fit when buying or selling an advisory business. more »
"One thing we can tell you is our opposition was there before us," says FPA's director of advocacy. "We heard over and over again the argument that if a fiduciary standard were extended to broker-dealers the middle market would be hurt." more »
The broker-dealer giant has acquired a 51% interest in electronic services firm Docupace Technologies. more »
"Any effort to put broker-dealers and advisors into the same box is probably not going to work," says a former deputy director of the SEC's Division of Investment Management. more »
Sales and advice should be separated by law, because there’s a clear difference between true "fiduciary" practices and those of the brokerage industry, Fiduciary Institute says. more »
These independent broker-dealers have the highest percentages of female representatives. What are they doing differently? more »
These firms have the highest percentage of female reps. What are they doing differently? more »
FINRA has promoted one of its own to head the regulator's disciplinary unit, but still has no replacement for Linda Fienberg's other role as head of arbitrations. more »
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