FINRA

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  How to host an online meeting (and widen your prospect base)

  By Todd Greider  |  May 23, 2013

  How do you continue to support a client — or the child of a client — that's moved to another state? It's simple: Use one of four top-tier online meeting tools.

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  FINRA to SEC: Act on fiduciary, or we’ll make our own disclosure rules

  By Melanie Waddell  |  May 22, 2013

  FINRA CEO Richard Ketchum called on the SEC to “act quickly” to put brokers and advisors under a uniform fiduciary standard.

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  SEC, FINRA: Beware pension, settlement income stream deals

  By Melanie Waddell  |  May 10, 2013

  In a joint alert, investors were warned about what to do before buying or selling pension or settlement income streams.

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  State Life breaks its asset-based insurance sales record

  By Noah Guillaume  |  May 10, 2013

  The OneAmerica company’s Asset-Care product saw 37 percent growth over the last four years.

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  When a fellow advisor goes bad

  By Devanshu L. Modi, Esq.  |  May 6, 2013

  You uncover negligence or even criminal behavior on the part of another financial professional. Now what?

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  Why a uniform fiduciary standard isn't the answer

  By Todd Greider  |  May 2, 2013

  A uniform fiduciary standard won’t change anything if we don’t fix some of the underlying problems plaguing the industry.

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  FPA makes two big pushes in Washington

  By Melanie Waddell  |  April 30, 2013

  The FPA is “well under way” in putting its advocacy infrastructure in place, says FPA President Michael Branham.

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  Dodd-Frank: A Guide

  By Allison Bell  |  April 22, 2013

  Dodd-Frank Wall Street Reform and Consumer Protection Act of 2010: The Insurance Provisions

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  Rep. Waters reintroduces SEC user fees bill

  By Melanie Waddell  |  April 19, 2013

  The legislation comes just days after SEC Commissioner Walter called on Congress to fix advisor exams immediately.

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  5 ways to charge fees

  By Brent Welch  |  April 19, 2013

  Want to stop relying so much on commission? Here's how.