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Finra's BrokerCheck comes under fire
Database omits bankruptcies, tax liens, and other vital information, lawyers group claims
IRI leadership feels good about 'trajectory' of DOL fiduciary rule
Leaders of a key financial industry lobbying organization emerged from meetings with lawmakers this week confident that their worries about a pending Labor Department investment advice regulation are being heard. John L. Carter, president and chief operating officer of Nationwide Financial, and
Individual advisers can be liable for money laundering, Finra warns
In some cases, the failure to supervise rests with the adviser, not the firm, senior director says.
FSI to push for independent-contractor legislation in 2014
Live from FSI OneVoice: Group wants to remove the uncertainty of continuing IRS scrutiny. Check out a video interview with Dale Brown, where the organization's president and CEO offers his Finra wish list.
More diversity at advisory firms would be welcome, Edward Jones survey shows
Nearly 80% of black and Hispanic respondents say such a move would better serve clients' needs.
Two vie in runoff for Finra small firm advisory board
Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.
Gregg steps down as SIFMA leader after only 7 months
Former senator from New Hampshire says he needs to cut down on travel, hectic schedule.
Advisory panel calls on SEC to move fiduciary duty to front burner
The Investor Advisory Committee gives the SEC two options for a uniform standard for advisers and brokers.
FSI adds two indie broker-dealer executives to board
One of the biggest cheerleaders for independent broker-dealers in Washington is adding two senior executives from the industry to its board.
White softens stance on minor securities violations
Securities and Exchange Commission Chairman Mary Jo White told compliance officers Tuesday that the agency will work with them to address regulatory lapses before resorting to enforcement. “The balance is critical,” Ms. White told a meeting of the National Society of Compliance Professionals in
Adviser buzz from FPA Experience 2013
A collection of the most influential adviser tweets via the #FPAExperience conference hashtag
Take 5: New NASAA president Andrea Seidt
Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.
FSI unveils advocacy website, social network
Tools intended to improve lobby's advocacy efforts and collaboration members.
FPA picks Gjertsen as 2014 president-elect
One-year term starts in 2015 following the one-year presidency of Janet Stanzak in '14.
CFP Board renews emphasis on comp disclosure
The Certified Financial Planner Board of Standards Inc. is putting a renewed emphasis on compensation disclosure in the wake of a disciplinary action this year involving its former chairman. Next week, the organization will send the roughly 68,000 CFP mark holders a notice “regarding the importance
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February 27, 2014