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FINRA has increasingly put more firms on notice that they should expect their branch office doorbells to ring more often. In the past two years, FINRA has changed its approach when conducting examinations, favoring branch office inspections in lieu of the home office visits that it used to emphasize, said Susan Axelrod, executive vice president of regulatory operations at FINRA, at the self-regulatory organizations annual conference on Monday.
May 20 -
A great wealth transfer may indeed be looming, but advisory firm executives are still focusing their creative energy on their boomer (and older) clients.
May 20 -
SEC Commissioner Elisse Walter endorsed a uniform fiduciary standard for all investment pros then invited her audience to fight industry fraud and abuse by becoming whistleblowers
May 20 -
The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer.
May 20 -
BMO Global Asset Management continues to expand its Retirement Services teams while keeping an eye out for more potential hires.
May 20 -
In a new report released on Monday, TD Ameritrade reveals some common myths and realities of becoming an RIA in todays business environment.
May 20 -
Only about 2,100 SEC-registered investment advisors switched their registration to state oversight, according to the North American Securities Administrators Association -- roughly half the number that the SEC estimated would switch as a result of the Dodd-Frank Act.
May 20 -
The Securities Industry and Financial Markets Association named former New Hampshire governor and U.S. senator Judd A. Gregg as its next chief executive officer. Gregg is known for advocating bipartisan approaches to balancing the national budget.
May 20 -
The Financial Industry Regulatory Authority will present the latest on fiduciary rules, enforcement and other issues affecting financial advisors at its annual three-day annual conference opening today in D.C.
May 20 -
Fidelity Investments has rolled out a smartphone application for NetBenefits 401(k) plan participants.
May 20
