Participation in the pilot program, which began this week, is voluntary and open to cases involving claims of $50,000 or less, FINRA said.
The $930 million New England Federal Credit Union is the latest to sign on with broker-dealer CUSO Financial Services LP.
A current SEC commissioner who has worked at the agency in several capacities, Elisse Walter has been tapped to become the new SEC chairman.
Nearly 32% of U.S. adults who would like to retire said they either do not know if they will be able to or do not believe they will ever be able leave the workplace for good.
A total of 1,504 advisers to hedge funds and private funds have registered with the SEC since Dodd-Frank mandated such registration.
Members of the $1.7 billion Baxter Credit Union who prefer a self-directed online alternative when it comes to investing will now have that option.
As a financial adviser specializing in retirement planning and retirement income planning, I work every day with baby boomers. So, I am acutely aware of members’ concerns about the current economy and its impact on their future needs.
They may have the motivation, and even have the money, but more than a third of American pre-retirees say they're simply overwhelmed by the process.
Through its registered investment advisor affiliate, MEMBERS Capital Advisors, CUNA Mutual Group is expanding its Credit Union Investment Advisory Services.
Cogent Research says "keeping plan participants happy can have a multiplier effect."