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By Melanie Waddell, AdvisorOne |
August 9, 2012
Quite a bit has happened in those five years: billion-dollar frauds, a flash crash exposing major volatility issues and a bill supporting FINRA as advisors' SRO, to name a few developments.
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By John Sullivan, AdvisorOne |
April 16, 2012
The well-known—and controversial—advisor, radio and television personality Ric Edelman announced Monday that his Edelman Financial Group had entered into a merger agreement with Lee Equity Partners.
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By Marlene Y. Satter, AdvisorOne |
August 25, 2011
This week in new hires, FSC named Jerry Murphy its new president and CEO, while MSRB announced new officers and members of its board.
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By Janet Levaux, AdvisorOne |
August 22, 2011
Atlanta-based FSC Securities Corp., one of Advisor Group’s three independent broker-dealers, said it named Jerry Murphy as its new president and CEO on Monday.
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By John Sullivan, AdvisorOne |
January 24, 2011
First U.S. electronic communications network to be started in five years.
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By Janet Levaux, AdvisorOne |
November 19, 2010
IPOs rise for a second day and other shares recover after falling 1.6% on Wednesday. LPL Financial moved up on its second day of trading by 1.46% to 32.60.
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By Michael S. Fischer |
June 15, 2010
The Financial Industry Regulatory Authority (FINRA) will assume surveillance and enforcement functions for NYSE Euronext's three U.S. equities and options markets in an agreement announced June 14.
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By Jeff Joseph |
January 1, 2009
The only thing they are certain of is that his alleged Ponzi scheme--estimated at $50 billion--will prompt fresh calls for regulators to beef up enforcement...
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By Staff Writer |
December 18, 2008
Obama's selection of Mary Schapiro to head the Securities and Exchange Commission is already coming under fire. Wall Street Journal political reporter T.W. Farnum, claims...
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By Staff Writer |
September 1, 2008
One of the developing trends over the past few years has been theme-based investments. The idea is to focus on emerging ideas that may reshape...