Regulation

Rule-making at the SEC went from looking at information to be viewed by potential and current investors to collecting large chunks of data to be loaded in some future database and processed by analytics software.

As waves of Americans reach retirement age while dementia and scams are on the rise, advisors need to implement training and reporting mechanisms to protect vulnerable clients.

The Camardas' suit was prompted by board’s disciplinary policies; experts call on judge to reveal his reasoning for the good of the planning profession.

Manulife Asset Management is expanding globally, and its president and CEO, Kai Sotorp, says that the $300+ billion global asset manager isn't doing it for the adventure. "We're just simply responding to that growth," he tells Money Management Executive.

The moves represent another blow to Barclays, which lost five advisors in advance of a pending deal to sell its U.S. wealth management operations to Stifel.

A FINRA arbitration panel ordered BNP Paribas Securities to compensate the couple for the losses they suffered as a result of an unsuitable security the firm sold them.

FSI endorses IBD head Brian Kovack for FINRA post; Kovack hopes to win mid-sized IBD seat in which he would says he would represent firms, not investors.

The brokerage firms failed to waive mutual fund sales charges for certain charitable and retirement accounts, FINRA says.

Mike Greene will serve out the term of Joe Votava, who resigned earlier this year as chair-elect due to personal and business reasons.

Analysis: The original version put financial advisors under onerous requirements that I have not heard of any other industry having, writes recruiter Michael King.