The SEC Is Broken
The Securities and Exchange Commission has three primary mandates: to protect investors; to maintain fair, orderly and efficient markets; and to facilitate capital formation.
A Financial Planning Christmas Carol
In his day, Lynn Hopewell was among the most prominent financial planners in the country, having served on the CFP Board and as editor of the Journal of Financial Planning.
Alternatives Speak to Two Generations
Registered investment advisors have a huge opportunity to develop client relationships using alternative investments with two demographic groups: baby boomers and the millennial generation, young adults born between the 1980s and the 2000s.
Cohen’s Point72 Takes RCS Stake as Regulators Circle
Former SAC chief Steven A. Cohen disclosed a 5.1% stake in Schorsch’s firm, which said recently it was talking to SEC and FINRA.
RCS Capital Says Some Brokers Lifting Product Suspensions
The news comes as the company considers spinning off Cetera Financial.
Schorsch’s Own Cetera Halts Cole REIT Sales
ARCP accounting scandal "has tarnished the entire Schorsch brand," consultant Mark Elzweig says, and Cetera parent RCAP is trying to limit the damage.
LPL, Advisor Group Stop Sales of American Realty Capital REITs
LPL, the biggest independent broker-dealer, has suspended sales of products tied to the Schorsch real estate empire.
5 Annuity Answers Every Investor Needs to Know
NAFA has released a paper that helps advisors answer five of the most important annuity questions.
Top Portfolio Products: Ivy, ProShares & TIAA-CREF Launch Funds
Fund shops zoom in on mid-cap, managed futures, emerging-markets debt and lifecyle strategies.
Morningstar Launches Smart Beta Ratings System
At its ETF Conference, Morningstar introduces a smart beta—or "strategic beta" in Morningstar parlance—exchange-traded product classification system.