Changes would not take effect until 18 months after SEC signs off, three times longer than originally proposed.
He had been in contention to succeed Benmosche as head of AIG.
Calling a broker an adviser is dangerous, and it's time to embrace the black-and-white distinction.
The independent broker-dealer is set to open a public affairs office in the nation's capital in response to increased federal regulation.
Investors sued individuals after the firm, Allied Beacon Partners, ran out of capital and failed to pay earlier arb award.
Ex-managing director of LPL Financial is named CEO of Lucia Capital Group, a firm that includes an RIA and broker-dealer and has $2.3 billion of client assets.
One of those arrested, Abraxas 'A.J.” Discala, was married to Jamie-Lynn Sigler
Nicholas Schorsch's RCS Capital has agreed to buy Cole Capital, which he also controls. <i>Plus: <a href="//www.investmentnews.com/article/20140917/INFOGRAPHIC/140919935"" target=""_blank"" rel="noopener noreferrer">See our map of the REIT czar's empire</a></i>
The REIT czar's empire is broken down in this "simple" visual covering all entities under his purview
With deep pockets aggressively recruiting assets tied to teams, advisers need to remember why they are paid bonuses in the first place.
Company provides SEC- and Finra-compliant paperless processing systems to financial services firms.
Financial Advocacy Network, a collective of 13 advisers with $450 million in assets, is hoping to grow to $1 billion in five years
Scott Welch, co-founder and CIO of Fortigent, is latest to leave.
By year end, RCAP expects to consolidate business groups across 9 B-Ds.
State securities regulators are making noise about implementing changes to policies that would limit how much a client's net worth could be invested in nontraded real estate investment trusts. Those limits would have helped clients in the case of a Louisiana broker who now has a Finra complaint.
NASAA report on hidden and complicated fee disclosures sparks drive for simple, uniform language.
A snapshot of tech spending and usage at IBDs
