Updated Tuesday, June 2, 2015 as of 3:36 PM ET
FINRA Launches BrokerCheck Ad Campaign
The agency says the ads are designed to inform the investing public of the free tool.
More in Regulatory/Compliance
A top lawyer for the industry regulator says it would be happy to help after a congressman calls on the agency to assume advisor exams. more »
Kirsten Flynn Hawkins stole roughly $500,000 from a longtime customer over 33 months, starting shortly after he suffered a debilitating stroke in July 2011. more »
Co-sponsor of legislation to derail Labor Department's fiduciary proposal admits that the bill's greatest goal is to put political pressure on the administration. more »
The revised proposal would require brokers to disclose to clients the compensation they receive when jumping to a new firm. more »
Richard Ketchum voices support for SEC to move on a uniform fiduciary standard for brokers and advisors, while warning of unintended consequences from DoL's proposal. more »
Enhanced programs will likely include financial planners. The initiative follows earlier legislation prompted by a Financial Planning investigation. more »
Now that two of the biggest U.S. banks are convicted felons, the Justice Department appears to have proven the point it set out to make a year ago -- that it could deliver the harshest penalty possible against financial institutions without inflicting fatal wounds. more »
New rules would bog down independent advisors in 'busywork' without producing enforcement gains, Brian Hamburger argues. more »
The U.S. Supreme Court issued a decision that could have far-reaching implications for how long a retirement plan participant has to sue an employer for breach of fiduciary duty in a 401(k) plan. more »
Public hearings begin on Aug. 10 and comments may stretch beyond four months. more »
Whether they like it or not, RIAs must pay careful attention to their firms' compliance practices. Here are 23 important guidelines to follow. more »
Federal and state examiners still see compliance failures when advisors take to social media to promote their practice. more »
Virginie Maisonneuve, chief investment officer for global equities at Pacific Investment Management, will be leaving after helping shutter three active stock strategies at the firm. more »
Advisors on the Move: Wells Fargo Nabs $650M Team
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Industry Events

June 18, 2015 | New York Hilton Midtown, New York, NY

June 24, 2015 | Chicago, IL

November 3, 2015 | The Broadmoor Hotel in Colorado Springs, Colorado

November 4, 2015 | New York Hilton Midtown, New York, NY

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