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

Today's Headlines

An Advisor's Fight to Clear His Name Clashes With Finra's Resolve to Uphold its Rules
Finra and the SEC view the expungement of broker-dealer records as an "extraordinary measure" and not one that should be expected to be routine.
UBS Adds Non-Solicitation Clause to Advisor Bonuses
Brokers who then try to solicit clients within a year of leaving the firm will expose themselves to lawsuits.
HighTower’s Latest Acquisition Reveals Firm’s Growth Strategy
HighTower is investing in growing its acquisitions and bringing on RIAs and wirehouse brokers.
Finra Panel Slams LPL over Terminations
Separately, another Finra panel awards $445K to a client of Hilliard Lyons.
Why RIA and Indie Broker-Dealer M&A Deal Size has Tripled
Size of deals soars as number of transactions drops slightly.
ThinkTank: Latest Published Content