SEC, FINRA, State Exam Execs Lay Out Priorities
Priorities include conflicts of interest, email retention, cybersecurity and some specific products, the executives said at the IRI legal and regulatory conference.
Top 10 Biggest 529 College Savings Plans: 2013
Here are the 10 biggest 529 college savings plans by AUM, asset growth and market share, as compiled by the Financial Research Corp.
New Hire Roundup: Magner Moves Up at Mercer
This week in new hires, Mercer announced a new position for Liana Magner and NAPFA named three to its board of directors.
Top 10 Most Expensive States for Long-Term Care: 2013
Will you or one of your clients be one of the 70% of people over 65 who will need long-term care? Genworth’s annual study on the cost of LTC indicates that if you are, you will be paying more for it this year.
BDs Share Latest FA
In early April, Baird said it recruited a team of seven employee advisors with about $770 million in client assets from Wells Fargo in Houston, while Royal Alliance announced that it added two independent teams in Chicago and Salt Lake City with combined assets of more than $400 million and...
Recruiting Roundup: Baird Grabs Wells FAs, UBS Branch Manager; Royal Adds 2 Indie Groups
The new Baird group has about $770 million in client assets, and the new Royal Alliance-affiliated reps have more than $400 million.
529 College Savings Plans: Never Too Late to Start
Late college saving is better than no college saving, says WSJ's Rosenthal.
Profits and dividends keep streaming from water company stocks.
Recruiting Roundup: FAs Join Morgan Stanley, Depart for Baird
Meanwhile, Janney grabs advisors from Merrill Lynch and UBS.
SEC Names Acting, Deputy Directors of Enforcement
The SEC announced Thursday that George Canellos has been named acting director, and that David Bergers, director of the SEC’s Boston Regional Office, has been named acting deputy director.