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Today's Headlines

Broker-Dealer Firms Raise Alarms That SEC’s CAT Database Isn’t Secure
There are numerous concerns over potential data breach and possible investor harm.
Angie Herbers Launches Online FA Education Platform
Platform promises to train advisors to grow their practices.
Finra Bars Two Ex-Wells Fargo Reps
Separately, SEC and federal prosecutors charge Pennsylvania broker over $2 million Ponzi scheme.
Shared Decision-Making is Key to the Success of FA Teams
Study also finds top-performing teams are more specialized and prioritize face-to-face interactions.
How FAs and Their Business-Owning Clients Stand to Win With Senate Tax Proposal
The Senate tax plan for pass-through businesses is more generous than the House proposal, expert says.
ThinkTank: Latest Published Content