Krawcheck: Want to Shrink Your Business? Ignore Women
“The retirement crisis is a women's crisis,” Sallie Krawcheck says, as some 80% of men die married, and 80% of women die single.
SEC Enforcement: Oil CEO Charged With Bilking Investors via Spam Emails
Meanwhile, the microcap promoter who got in trouble for a pump-and-dump scheme involving Daniel “Rudy” Ruettiger's company is in the SEC's sights again.
4 Steps to Transfer Deceased Parents’ Brokerage Assets: FINRA
After taking a flood of calls from children of deceased parents on its new senior helpline, FINRA issues an alert on transferring brokerage assets.
Riskalyze’s New Autopilot Platform Lets Advisors Leave Daily Hassles to the Robots
The platform handles quotidian tasks so advisors can spend more time fostering relationships, Riskalyze CEO Aaron Klein says.
Supreme Court’s Obamacare Ruling Leaves GOP Few Options
Even if the Republican-led House and Senate were able to pass legislation repealing the health care law, Obama would veto it.
SEC Suspends Advisory Firm's Ex-President for Failing to Heed CCO Pleas for Help
SEC says the firm, Pekin Singer, breached ethics rules by failing to place clients in a lower-cost share class of the Appleseed Fund it managed.
Expat Groups Rage Against FATCA, Election-Season Style
In a poll by deVere Group, nearly half of U.S. expats said they'd vote for a presidential candidate who promised to repeal FATCA.
Retirement Service Providers Losing Plan Sponsors’ Loyalty
Plan sponsors feel less loyal to their retirement service providers, according to an annual index produced by research firm Chatham Partners.
New Hire Roundup: Advisor Software Adds Nguyen as Chief Technology Officer
Meanwhile, Hartford Funds announced that Tom Scanlan, Tom Monks and Nick Hammer have joined as advisor consultants.
Cybersecurity Tops Advisors’ Compliance Worries: Poll
Other big worries cited in the survey were FATCA compliance, advertising and fraud prevention.