FINRA

Congress must fix advisor exams now: SEC’s Walter

By Melanie Waddell | April 18, 2013

Switching advisors from SEC to state oversight under the Dodd-Frank Act is not “the final answer” to ensuring advisors are adequately examined, Walter said.

SEC’s social media update: What not to report

By Amy McIlwain | April 10, 2013

Five things you don’t need to tell FINRA about.

How to interview an agency

By Corey Weiner | March 29, 2013

Considering moving to a new organization? Mind these five key considerations.

Social media: Look, we're doing it!

By Corey Dahl | March 27, 2013

Three success stories from the industry’s social media frontline.

The 4 percent myth

By Brent Welch | March 21, 2013

Two studies show living on 4 percent might not be doable for many near-retirees.

FINRA fines Ameriprise $750,000

By Maria Wood | March 4, 2013

The fine relates to a prior enforcement action FINRA levied against a former Ameriprise registered representative.

3 reasons to consider indexed annuities as an alternative in qualified plans

By Kevin Startt | February 20, 2013

Fixed indexed annuities are a viable alternative to bonds and, after two major bear markets and a Great Recession, especially as a qualified plan option.