Welcome to Financial Advisor IQ

Registration Required To View More Than 1 Article(s) in 30 Day(s).

Already registered?

Register for a free subscription to Financial Advisor IQ, a Financial Times service, written specifically for Financial Advisors. (All fields are required.)

  • There's no cost
  • Your information will not be shared without your consent
  • You get full access along with a daily news alert

CE Credentials
You can now earn continuing education credits by reading selected content on FAIQ's ThinkTank. Enter your credentials below to start earning credits.

Already a Financial Advisor IQ Reader?

Log in

January 5, 2018

Finra Refuses to Get Embroiled in ‘Who-Owns-the-Customer’ Debate
Watchdog says closest related rule is SEC’s Regulation S-P, cited by broker-dealer firms in lawsuits versus former advisors.
Court Rules Against Ex-Merrill Manager’s Bias Appeal
Appeals court panel rejects complaints about judicial bias in claim of anti-Mormon bias at the wirehouse.
Raymond James Nabs $300M Merrill Lynch Team
Separately, Qualified Plan Advisors acquires $4 billion retirement practice.
Finra Clears Up Senior Exploitation Rule Concerns
Advice firms have leeway blocking disbursements and seeking trusted-contact information.
Being Right Is Different from Getting It Right
Even if we think we have the perfect solution it won’t work unless the client feels good about it.