The self regulatory organization seeks comments on the concept of lower minimum capital requirements
Proposed guidance details common due diligence practices
Two advisors claim Manulife Securities made false allegations against them in their termination notices
Deal expected to close in mid-February
Overall industry profits up 27% in 2013
Meanwhile sanctions ordered against individuals dropped significantly
For some advisors, this could be the fourth acquisition in a little more than 10 years
Claim against RBC DS was brought after limitation period expired
IIAC survey finds firms intend to hire staff in 2014
Regulators proposed methods for identifying systemically important asset managers and brokerage firms