Bari Havlik, chief compliance officer at Schwab, will head Finra's member supervision unit.
Double-digit gains are predicted for the quarter and full year.
IFP is breaking away to "address our more complex needs," company CEO William Hamm said.
They must show how much of their funds overlaps with an underlying index, but some critics think the measure is useless.
Former employees claim they lost hundreds of millions on company stock during the financial crisis.
Amid vast industry changes, broker-dealers must consider reinventing themselves.
Susan Axelrod, who led the Finra unit that oversaw broker-dealers, is now Merrill's chief regulatory officer.
The deal-making added 128 employees to the Raleigh, N.C.-based firm.
Morningstar's new automated system will rate nearly all of the open-end funds and ETFs it tracks.
Industry executives cashed some big paychecks after a year of record earnings and assets.
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