SEC Fiduciary Rule to Include ‘Deep Economic Analysis’: Chief White
The SEC’s uniform fiduciary proposal for brokers and advisors will include plenty of research on the rule’s impact on retail investors.
Wells Fargo Sees ‘Feeding Frenzy’ for Credit Suisse Advisors
Wealth head David Carroll says retention bonuses are `much lower' than those of peers.
Recruiting Roundup: Where Are the Credit Suisse Reps Going?
Many of these advisors decline to hook up with Wells Fargo and opt instead to join rival wirehouses.
How Raymond James Grabbed a $2.9B Merrill Team
The long-time Merrill reps say they needed a flexible platform and low-cost funds to compete.
Despite Bull Market, Americans Still Lack Financial Confidence
Americans are feeling less confident about their financial situation, with Social Security the top worry, according to Hearts & Wallets.
Some Parents Use Retirement Savings for Kids’ Holiday Gifts: T. Rowe Price
Head off bad spending behavior this season by showing clients how all their financial goals are related, T. Rowe Price says.
Rep Rallies Small Businesses Behind Alternative to DOL Fiduciary Rule
Rep. Peter Roskam, R-Ill., told a Chamber of Commerce gathering that the DOL intends to “get the private sector out of the retirement space.”
AIG Advisor Group for Sale: Who’s Likely to Buy It?
With Cetera also up for grabs, who could pounce on the latest IBD to hit the market?
RCS Capital Profits Plunge in Q3; Cetera's Roth Named CEO
Equity raised by the wholesale unit in the quarter was less than half what it was a year ago, the troubled firm reported.
Advisors Take Note: Compliance Officers Are Watching
Yet only 51% of compliance officers in a Schwab survey said they were very confident that their monitoring policies were effective.