Trade Organizations

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  1. Articles

    SEC cost-benefit analysis turns up dearth of data on fiduciary rule

    An indication by the Securities and Exchange Commission that it has failed to collect much data to gauge the potential impact of a rule to raise investment advice standards has fiduciary-duty advocates scratching their heads. The request for information that the SEC put out a year ago generated 225

  2. Articles

    Finra's BrokerCheck comes under fire

    Database omits bankruptcies, tax liens, and other vital information, lawyers group claims

  1. Articles

    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

  2. Articles

    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.

  3. Articles

    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.

  4. Articles

    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.

  5. Articles

    Two vie in runoff for Finra small firm advisory board

    Deadline for ballots in race between Stephen Hart and Myles Edwards is Monday.

  6. Articles

    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.

  7. Articles

    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.

  8. Articles

    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.

  9. Articles

    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

  10. Articles

    Adviser buzz from FPA Experience 2013

    A collection of the most influential adviser tweets via the #FPAExperience conference hashtag

  11. Articles

    Take 5: New NASAA president Andrea Seidt

    Ohio Securities Commissioner Andrea Seidt is concerned that the Securities and Exchange Commission is getting bogged down.

  12. Articles

    FSI unveils advocacy website, social network

    Tools intended to improve lobby's advocacy efforts and collaboration members.

  13. Articles

    FPA picks Gjertsen as 2014 president-elect

    One-year term starts in 2015 following the one-year presidency of Janet Stanzak in '14.

  @IN Wire

Mar 07 10:29PM
10 professions that need the most coffee to survive - I Love Coffee http://t.co/3XfZW17f0c
Mar 07 10:00PM
"J.P. Morgan Securities goes on recruiting offensive" http://t.co/Ag4rX0oR04 good read

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