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Leadership worried that by trying to be everything to everyone, the association risked diminishing its appeal and determined to address the issue once and for all.
February 3
Financial Planning Association -
Jeffrey Santulan and his company, Safeguard Metals, are facing enforcement actions by the SEC, the Commodity Futures Trading Commission and 27 state securities regulators.
February 3
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A group of lawmakers teamed up Thursday to introduce bipartisan legislation that aims to create a workable structure for taxing purchases made with cryptocurrency.
February 3
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The 43% of candidates who successfully finished the series in November is the third-lowest pass rate for the Level III exam and below the 10-year average.
February 3
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The hefty FINRA award might not deter firms from poaching difficult-to-find talent.
February 2
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The wirehouse and its attorney “manipulated the arbitrator selection process” and “introduced perjured testimony,” according to the ruling.
February 2
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Not only that, but they're lagging the markets in many cases.
February 2
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An analysis commissioned by BNY Mellon Investment Management, found the industry “overwhelmingly targets men.”
February 2
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This elite group of young regional employee representatives collectively generate more than $87 million in annual revenue.
February 2
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The 15-year veteran discusses how she built a massive practice and what this year’s class of award-winning brokers says about the industry.
February 2
