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JULY 14, 2022

REGULATION AND COMPLIANCE

FINRA Bars Reps For Cheating on Online Qualifying Exams

Patrick Donachie

The two cases mark the first actions the regulator has taken against brokers for cheating during remote testing.

FULL ARTICLE

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INDUSTRY

Merrill Breakaways Launch Old Town Advisors in New Mexico

Ali Hibbs

Done keeping score, Merrill Lynch trio breaks away to launch independent Albuquerque advisory firm with Concurrent and Raymond James.

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SPONSORED CONTENT

Are Your Portfolios Keeping Up With Volatile Markets?

Sponsored by BlackRock

See how BlackRock models help keep portfolios on track giving you more time for clients.

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RETIREMENT PLANNING

Milestone Retirement Moments For Federal Employees

Galen Bargerstock and Clinton Smith

Five key markers where extra attention is warranted.

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ALTERNATIVE INVESTMENTS

Commodities Never Belonged in Your Portfolio

Jonathan Levin

Grasping at straws in a challenging economy, many investors and strategists turned to oil, metals and grain. Now that’s blowing up in their faces.

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SPONSORED WEBINAR

Turning Efficiency into Scale: Trends in Investment Management Outsourcing

Sponsored by Flexshares Exchange Traded Funds

Join on July 20th for a look at the key findings from the 2022 Race to Scalability Study, which tracks where and how advisors are finding efficiencies to better scale and grow their businesses, enabling them to create a better client experience.

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