Regulator still reviewing industry comments on rule to give investors better handle on share values.
Even as the technical barriers are eclipsed, doubts remain over cost and utility.
United Capital's Joe Duran is hellbent on changing the industry.
Social Security planning has taken a giant step into the workplace, and retirement planning may never be the same
Some brokers may have moved clients into inappropriate investments as they moved money into higher-fee IRAs.
In 2013, U.S. adults donated $1,016 per capita, and some research suggests people want to give more.
Nationwide unwraps free access to Social Security Timing software.
Expelled from the industry last October, the troubled broker-dealer tweets every day.
Brokerage seeks payback of more than $3.6 million, claiming ex-broker Darin DeMizio “intentionally defrauded Morgan Stanley and concealed his fraud” while working at the firm.
Retirement isn't going the way of the carrier pigeon. Innovative retirement plans and new policies and products point to a future richer than many workers imagine.
Regulatory filings reveal new living benefits, investment-focused annuities or exchange offers for existing clients.
CEO Richard Ketchum says the regulator continues to update its controversial data collection proposal. <i>Plus:</i> <a href="//www.investmentnews.com/article/20140415/FREE/140419941"" target=""_blank"" rel="noopener noreferrer">How data collection is key to catching rogue brokers</a></i>
At regulator's annual conference, concerns are raised but some attendees see the silver lining.
On Friday's menu: What's next on Yellen's to-do list. Plus: Small-cap stock weakness as a leading indicator, an SEC official dishes on PE funds, big banks are loving big mortgages, three finance questions you better be able to answer, and getting by on $6,000 an hour.
Decisions to moderate sales volume in recent years has caused changes for the bigger players
Plan addresses firms' objections to creating thousands of individual links to profiles.
Wells Fargo is testing new models that would pay on a salary plus commission basis in effort to attract Millennials
At its board meeting, Finra approved background checks for brokers and plans to consider requiring new information such as exam scores on BrokerCheck.
<i>Exclusive:</i> Having <a href="//www.investmentnews.com/article/20140413/REG/304139997"" target=""_blank"" rel="noopener noreferrer">pulled back efforts</a> to become the regulator for advisers, Finra CEO Ketchum has plans to discuss BrokerCheck at this month's board meeting.
Commission is developing rule proposal to strengthen industry data received, official says.
