The entry-level exam is part of a major overhaul of the licensing system.
The traditional stock-and-bond portfolio is looking at dismal returns for the next decade, says Research Affiliates.
Finra is proposing freeing broker-dealers from the oversight responsibility for advisory activities.
Finra chief Robert Cook outlined regulator's priorities in its annual regulatory and examination letter.
If history is a guide, certain metrics evident this year don’t bode well for equities next year.
Merrill Lynch was cited for a lack of supervision in its extended-settlement transactions.
Bernstein also finds it ironic that investors fear traditional equities, yet are high on cryptocurrency.
The SEC says Ameriprise negligently relied on faulty ETF performance claims by F-Squared.
Finra has taken one of its strongest steps yet in cracking down on expungements of disciplinary information.
Finra wants to prevent brokers from expunging older customer complaints.
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