Approach your initial meeting prepared, relaxed and brimming with confidence

Chair Mary Jo White called the fiduciary standard an “extraordinarily high priority” for the Securities and Exchange Commission, saying it’s her goal to see a decision on whether to impose a uniform standard this year...

Rapid pace of IPOs and lofty valuations are forging new tech millionaires, even as market declines and some fear a bubble...

This article has been republished from LinkedIn...

A six-year-old FINRA arbitration case has worked its way up to the Supreme Court, after the investor found out that the arbitrator’s husband just happened to be a Wharton School professor and consultant for several investment firms...

Regulators produced over 3,000 new rules last year, racking up $1.863 trillion in compliance and economic impact costs, according to a new study. Financial regulation alone made up about 18 percent of the rules. The Dept. of Treasury, Commodity ...

Going down for the count is never a good thing in any confrontation.  But being hit while you are down is far worse.  That is precisely what FINRA is attempting to do to its members with the approval of its new rule that prohibits...