Why the SEC Is Leery of ‘Nontransparent’ ETFs
Maybe active ETFs aren't the next big thing in investing, after all.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
SEC Responds to Market Volatility by Ramping Up Bond-Fund Exams
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
Workers’ Retirement Preparedness Slipping Over Economic Worries
Retirement preparedness has climbed steadily this decade but fallen in the last three quarters, Financial Finesse found.
Treasury, IRS OK Deferred Income Annuities in 401(k)s
Target date funds that invest in deferred annuities can be used as default investments in 401(k) plans, Treasury and the IRS said Friday.
Snowden Lane Picks Up $270M Merrill Duo
This news follows the boutique firm’s recruiting of a UBS team in late September.
Littlechild Launches Online Training Program for Advisors
The monthly webinars are intended to resemble top-advisor panels, and a portion of the registration fees will go to charity, Littlechild said.
Wells Fargo’s Wimbish: Navigating the 30-Year Retirement
Wells Fargo retail retirement director Karen Wimbish on guiding clients not just to retirement, but through it, and the firm's new Income Center.
United Capital Acquires FlexScore Creators Valley Wealth
United Capital said Thursday that it has acquired Valley Wealth, an RIA based in California, that has $320 million in AUM.
Enforcement Roundup: Stock Scam by New Yorker Used to Pay for Vacation, Plastic Surgery
Meanwhile, Rajaratnam brother to pay more than $840,000 for insider trading.