Practice

A proposal to tighten regulation of foreign banks in the U.S. would also significantly expand the central bank's oversight of foreign broker-dealers, effectively snatching supervisory responsibility from the SEC.

The Marketing Maven offers marketing insights from the Ladenburg Institute of Women and Finance Symposium

The Securities and Exchange Commission has tapped David Grim for the No. 2 spot in the Division of Investment Management, the bureau that oversees federally registered investment advisors.

Financial services compliance technology firm RegEd is offering clients a social media library containing pre-approved content, as well as a series of dictionaries, or lexicons, of words or phrases to support compliance.

The TCW Group has appointed Meredith Jackson as General Counsel, effective January 15.

The collective voice of independent financial advisors just got a little bit louder.

Wealthier clients spend more than half their communications time digitally, using email, web portals, social networking, SMS, instant messaging and VOIP calls.

A FINRA arbitration panel has dismissed a claim that Stifel illegitimately poached a number of legacy A.G. Edwards advisors.

You can use a well-organized advisory board to get strategic advice from the people who are your most valuable assets. Here are a few suggestions for running a group.

If referrals play a key role in your marketing plans for the year, here are some key elements that must be addressed.