U.S. state securities regulators on Friday
urged the SEC to prohibit Wall Street brokerages from requiring
customers to settle legal disputes through arbitration, which
prevents customers from going to court, joining a chorus of
groups opposing such clauses....More
A group of 37 federal
lawmakers urged U.S. securities regulators to prohibit Wall
Street brokers from forcing customers to sign away their legal
right to sue....More
A proposed FINRA rule requiring financial advisors to post a link to their BrokerCheck information on their websites and social media sites is no longer on the table....More
Raymond James’ regulatory guru Chet Helck told attendees of the firm’s national professional development conference that new state proposals to tax the financial services industry are a big concern, and not enough attention has been paid....More
In Curtis v. Brunsting, No. 12-20164 (Jan. 9, 2013), the U.S. Court of Appeals for the Fifth Circuit revisited the issue of the scope of the probate exception to federal subject matter jurisdiction....More
This flawless, 101.7-carat, pear-shaped diamond—one of the world’s largest —will go up for auction at Christie’s “Magnificent Jewels” sale in Geneva on May 15, 2013. How much will it sell for? Choose the correct answer and registered site users will be eligible to win a one-year subscription to Christie's Geneva Jewelry sales catalogue, courtesy of Christie's.
I am new in financial planning and am approaching the profession with several years experience working in personal trusts and have just completed a financial planning course. I am considering going out on my own and am trying to get some tips and ideas as to the best ways to stay informed and to provide clients with the best expertise and skill set possible.
Does anyone have preferences and/or advice as to the best ways to stay current and in compliance with legal, tax and market changes?...More
Moore’s Law is a mathematical principle devised in the 1960’s that states the number of transistors on integrated circuit boards doubles every 18 months – meaning the processing power grows exponentially. This simple principle has held true for the computer hardware industry over the past fifty years!...More
Advisors who hate the idea of linking to BrokerCheck on their websites are not out of the woods. Despite pulling its proposal last month, FINRA staff say the proposal is not dead....More