Cynthia Friedlander has been named director of fixed income regulation in the member regulation division of the Financial Industry Regulatory Authority, FINRA announced Thursday.
Industry leaders will gather in Palm Beach, Fla., for TD Ameritrade's advisor conference to discuss wealth management trends and the future of financial advice regulation.
So what are three elements that are going to shape the mutual fund landscape in 2013? The answer lies in regulation, exchange-traded funds and operational outsourcing, according to a report from Deloitte.
“You know, I’m very direct,” said Summit Financial CEO Marshall Leeds, who spoke with AdvisorOne about football, regulation and CEOs' priorities.
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