SEC Pay-to-Play July 31 Effective Date a ‘Nonevent’: IAA Chief
The SEC won’t enforce ban on advisors’ use of third parties to solicit business from government entities until FINRA and the MSRB issue final rules.
Top Mutual Funds in 401(k) Retirement Plans: BrightScope
Two big fund providers accounted for more than half of the funds represented.
Private Equity Dry Powder Hits Record $1.3 Trillion in Q2
Private equity dry powder reached a record $1.3 trillion at the end of the first half, up 18% from the end of December, according to Preqin.
For the Wealthy, It’s Hard to Find Good Help
Family offices are hiring household help for high-net-worth clients — but should they get involved?
LPL Sees Strong Hybrid RIA Growth Amid ‘Massive Consolidation’
LPL advisors can potentially save time and money using the company’s new Vendor Affinity Program, the firm announced Tuesday.
3 Ways to Become a ‘Techno-Advisor’
Clients are embracing tools like video conferencing, online scheduling and digital estate planning — and so should advisors.
Want Video? You Should, and Fidelity Wants to Help
Advisors who use Fidelity's custody or clearing services now have access to two kinds of assistance with video-making — and marketing to new clients.
Where Are the Departing UBS Reps Going?
The firm is shedding advisors, who are moving on to a variety of rivals and going independent.
Plunge in Consumer Confidence Exposes Risk for U.S. Economy
Americans are growing concerned that this is about as good as it gets.
Judge Says CFP Board ‘Followed Its Own Rules’ in Disciplining Camardas
The judge said there was no evidence that the CFP board had been motivated by bad faith or ill will.