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.
Longtime supporters of the tax, they are using the strategies common to the wealthy to reduce theirs.
Connecticut securities regulators say the firm had out-of-date procedures and delayed handing over email records to examiners, leading to this settlement.
The team, who previously managed $285 million in assets, join Merrill in New York.
2013's tax changes will likely prompt advisers to keep a closer watch on their clients' tax strategies.
N.Y. Supreme Court justice dismisses a complaint from three former trainees who claimed they were given a book called “Seducing the Boys' Club” and ultimately fired out of bias.
Federal Reserve chair Janet Yellen is looking at a broader range of data for a rate-hike trigger. She hasn't highlighted one labor indicator that economists say is sounding inflation alarms: short-term unemployment.
The benefits of charitable trusts vary — particularly when it comes to interest rate environments.
Big Four have their own strategies for simplifying advisers' and clients' lives.
Bob Doll, Nuveen's chief equity strategist doesn't see big head winds for stocks or the economy this year, forecasting mid- to high-single-digit equity gains this year. What about tapering?
Firm raises $13.5 million to help former convicts find jobs; returns based on program's success.
Deputy chief investment officer has inside track to succeed 'Bond King' as CIO
The SEC reportedly asking: Were private-banking clients steered into funds more profitable for the company?
Passively managed portfolios of low-cost ETFs for 'core' portion of an investor's holdings.
2 tips for reducing or managing college debt: Remember that monthly cash flow is king, and seek out programs to help you repay.
