FINRA

• Lifetime income options seen in DC plans' futures

  By Andy Stonehouse  |  January 30, 2013

  Does the much-maligned annuity represent an attractive option for future DC plans? Protection against market volatility might help sell the products to plan sponsors.

• IRI unveils new members-only website

  By Paula Aven Gladych  |  January 29, 2013

  The Insured Retirement Institute has unveiled its new members-only website, myIRIonline.org, catered to meet the needs of financial advisors and broker-dealer/distributor members

• Obama picks Mary Jo White to lead SEC

  By Julie Pace  |  January 24, 2013

  President Barack Obama will nominate Mary Jo White to lead the Securities and Exchange Commission, tapping an attorney with broad experience in prosecuting white-collar crimes to lead an agency that has a central role in implementing Wall Street reform.

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  Does the retirement world need more federal help?

  By Andy Stonehouse  |  January 18, 2013

  Can a new federal watchdog do what the SEC, the DOL and even FINRA haven't been able to do when it comes to protecting retirement plans in the U.S.?

• FINRA’s broker bonus plan a move toward fiduciary duty

  By Melanie Waddell, AdvisorOne  |  January 7, 2013

  FINRA on Friday fulfilled its promise to seek comments on its controversial plan to require brokers to disclose their pay packages.

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  Brokerage windows and retirement plans

  By Fred Reish  |  January 7, 2013

  After the DOL partially reversed part of its guidance on the fiduciary responsibilities, questions still remain.

• FINRA orders $10.7 million restitution from mutual fund vendor

  By Paula Aven Gladych  |  December 28, 2012

  The Financial Industry Regulatory Authority has ordered a New Jersey company to pay more than $10.7 million in restitution, plus interest, to customers who placed mutual fund orders with Pruco Securities, LLC, via facsimile or paper orders from late 2003 to June 2011 and received an inferior price for their...

• Three Washington heavyweights will drive advisor agenda in 2013

  By Melanie Waddell, AdvisorOne  |  December 21, 2012

  New SEC and House Financial Services chairmen, plus DOL's Phyllis Borzi, will all help set the tone for the retirement advisor community in the new year.

• FINRA clarifies 'investment strategy' under suitability rules

  By Melanie Waddell, AdvisorOne  |  December 14, 2012

  FINRA has clarified what the terms “customer” and “investment strategy” mean in its suitability rule, which became effective on July 9.

• New House Financial Services chair elected

  By Melanie Waddell, AdvisorOne  |  November 29, 2012

  Texas Republican Hensarling to take over from Bachus, but he's said not to be keen on the existing self-regulatory organization bill for advisors.