Regulation

After the fiduciary rule was announced, it wasn’t clear how brokerage firms would adapt. Here's why the wirehouse is a standout on its approach to the new regulation, and why one competitor isn't.

The Wells Fargo scandal has given the sale of loan and bank products a bad name, but experts say that, done right, it is a crucial revenue driver.

Dupree Financial Group was censured for shortfalls that firm's founder insists were not indicative of a lax compliance culture.

The metal's retreat has taken place against a backdrop of investor concern that the world's leading central banks.

Open enrollment offers seniors the opportunity to change their plans and save hundreds of dollars.

The wirehouse, which is embracing the new regulation, is the first to unveil its strategy in depth.

Firms should consider focusing on nuts-and-bolts issues like marketing and suitability of products if they want to avoid being the subject of FINRA disciplinary actions.

Robert Tricarico worked for five firms and had 16 FINRA disclosures over 20 years.

“A new era is dawning for advisers and long-term investors of all kinds,” Mark Wiedman, global head of iShares, said in the statement.

The main objection seems that regulators just don't like the unseemly business of selling products to customers who might not want them.