Practice

So many terms, so little time. Test yourself using our third installment of our quiz series.

The private equity-backed buyer hopes to double its offices around the country in three years.

In spite of its own compliance policies, the firm failed to get several hundred clients to sign a disclosure notice that described risks associated with inverse ETFs.

The new hires are both industry veterans of more than two decades.

Clients who have lost track of old 401(k) accounts may get help from the National Registry of Unclaimed Retirement Benefits, a subsidiary of a firm that processes retirement checks.

The regulator rebuked the broker for excessive trading that generated more than $666,000 in commissions and fees and resulted in $397,000 in losses.

The team has formed Samara Capital and joined platform tru Independence.

The group generated nearly $5 million in annual production while at the wirehouse, according to the regional firm.

SEC staff recommended this solution as far back as 2011.

Intense competition and the advent of the fiduciary rule are prompting financial institutions to consider making select purchases.