Practice

Forty-two percent of 111,731 CFA candidates that took the exam passed in June.

The Tuition Plan Consortium said Monday it re-launched Independent 529 Plan as Private College 529 Plan, to foster pre-purchasing of tuition fees as present rates.

Independent member firms of FINRA have landed seats on the regulator’s board.

The U.S. economy has been so sickly for so long now it's hard to remember just a few years ago, people in this country were blissfully, ignorantly riding the wave of a housing bubble into what they figured would be a long and fruitful retirement.

"Hard Wired" program is designed to help advisors understand client behavior, construct portfolios and build their firms.

As advisor headcount continues to shrink, Cerulli suggests a strategy that might attract newcomers to an industry that’s tough to crack.

Martin Kanefsky, the former owner and chief executive officer of a Great Neck, N.Y.-based firm that helped municipal issuers secure guaranteed investment contracts for their bond proceeds, pleaded guilty to participating in two separate fraud conspiracies as well as wire fraud, the Justice Department announced Thursday night.

WASHINGTON — Martin Kanefsky, the former owner and chief executive officer of a Great Neck, N.Y.-based firm that helped municipal issuers secure guaranteed investment contracts for their bond proceeds, pleaded guilty to participating in two separate fraud conspiracies and wire fraud, the Justice Department announced Thursday night.

The Securities Industry and Financial Markets Association has asked the Securities and Exchange Commission to allow the use of "flash orders" in options markets.

The Securities Industry and Financial Markets Association has asked the Securities and Exchange Commission to allow the use of "flash orders" in options markets.