FINRA360 Progress Report, Exam Consolidation Decision Coming Soon: FINRA CEO
By Melanie WaddellFINRA will decide this year whether to consolidate its current three exam programs, said CEO Robert Cook.
March 20, 2018
Pinney to Lead Life Direct Marketing GroupLIDMA's new chief is a veteran in the life and annuity brokerage sector.
March 19, 2018
Blackstone Hires Former Federal Insurance Office HeadThe money manager wants Michael McRaith to help it attract yield-starved life and annuity issuers.
March 19, 2018
Supreme Court Eyes State Moves to Cut Life Beneficiary KnotsThe Sveen v. Melin ruling could affect whether, how and how much states can change the effects of old policies.
March 19, 2018
Gibson Dunn: No 'Circuit Split' on DOL Rule; Decision Applies NationwideThe decision removes the fiduciary rule from the books, say attorneys who argued against the DOL rule.
March 19, 2018
Center for Retirement Research Partners With First Eagle Investment ManagementThe two organizations plan to develop a customized, interactive platform that will help retirement plan participants save enough funds for a secure retirement.
March 19, 2018
The Danger of Obsessing Over Short-Term Portfolio PerformancePerformance chasing can shortchange client portfolios over the long run.
March 19, 2018
SEC Awards Merrill Whistle-Blowers Record PayoutThree individuals helped agency bring 2016 case, lawyer says; SEC didn't name people involved, citing confidentiality rules.