FINRA's BrokerCheck Now Links to Derivatives Industry Database
By Melanie WaddellThe tool connects to the National Futures Association's Background Affiliation Status Information Center, or BASIC.
September 22, 2026
Mercer Names Cynthia Loh to New Executive RoleAs chief platform officer, Loh will oversee the operating system that anchors the RIA's client and advisor experience.
September 22, 2026
Ex-Advisor Convicted in Shooting of 3 Palestinian StudentsA Vermont jury finds Jason J. Eaton guilty of three counts of attempted murder.
September 22, 2026
Hightower Taps Vanguard Veteran as New PresidentMarco De Freitas will help integrate AI and investing; Hightower Signature Wealth named a president and two key leaders.
September 21, 2026
Anti-Financial-Scam Bill Has Chance to Become LawThe bill would provide training for law enforcement agencies and new streams of data.
September 21, 2026
New Bill Allows Online Social Security Survivor Benefit ApplicationsThe Survivor Benefits Application Modernization Act calls on the agency to set up a self-scheduling portal.
September 21, 2026
How Better Meetings Drive Profits in Wealth Management: Oasis GroupA better treatment of resources, the research firm finds, allows practices to grow without adding more expensive people.
September 21, 2026
High Prescription Drug Costs Force Patients to Quit TreatmentSome important drugs cost patients more than $200,000 per year.