CFPB’s Independent Funding Nixed in Senate Budget Plan
GOP senator calls CFPB “a rogue agency,” but consumer groups say independent funding shields it from Wall Street pressure.
Why Advisors Attend Conferences Now: Next-Gen Recruiting
And who is helping advisors with this mission? As shown by its words and actions, TD Ameritrade stands out.
Want to Lure Millennials? Forget ‘Retirement Planning’
XY Planning Network co-founder Alan Moore, 27, talks with ThinkAdvisor about his generation, his monthly fee model, and why advisors should rethink "retirement."
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
SEC Enforcement: Man of Many Aliases Charged With Stock Fraud
California man with several aliases was charged with fraudulently selling $900,000 worth of stock that he didn't actually own.
Even Congress Doesn’t Like the Tax Plan It’s Ready to Pass
Lawmakers, about to pass a short-term deal on tax extenders, know what they’re doing is bad policy. And they’re doing it anyway.
Wells Fargo Adds 2 Reps, Boosts Overall Headcount in Q3
The third-biggest wirehouse says its client assets total $1.4 trillion.
Top 25 U.S. Charities: 2014
The Chronicle of Philanthropy ranks the top charities by private donations, with four of the top 10 DAFs, including those of Fidelity, Schwab and Vanguard.
Less Affluent Americans Boost Charity; Wealthy Donors Tighten Belts
Despite earning less, middle- and lower-income Americans have increased the share of their income thay give to charity since the recession.
Focus, Dynasty Add Teams; Morgan Stanley Grabs 4 FAs With $660M
Boutique firms continue to attract registered reps, including some from the wirehouse firms.