Most State-Registered Advisors Have Tech, Cybersecurity Policies: NASAA
Though less than 5% of small and midsize firms said they had a cybersecurity incident, two-thirds said they had cybersecurity policies in place.
Frustrated States Push to Fill Small-Business Retirement Gap
Seventeen states are at some stage of legislating state-administered plans that hope to deliver retirement plan access to small employers.
Don’t Let Government Trample Your Retirement Business: Pawlenty
Think Obamacare is bad? Federal intervention in retirement saving would be an “existential” threat to advisors, ex-governor Tim Pawlenty warns.
SEC Enforcement: Smith & Wesson Fined $2 Million for Bribery
In more actions, a judge ordered Bank of America to pay $1.27 billion for a mortgage "hustle."
New Hire Roundup: Altegris Names Murphy Deputy CIO
Also in new hires, Lindsey and Lindsey adds Christina Lindsey Orta, and former Gov. David Paterson joins IFS Securities.
New ETF Based on Workplace Equality Index
Years ago, Denver Investments built an index of companies with gay-friendly workplaces. Now it's rolled out an ETF to meet like-minded investors' needs.
Top 20 States for Private Equity Investment
An analysis by a private equity group ranks states by investment value and number of investments.
FINRA Expels Firm for Bilking NFL, NBA Players
The online broker-dealer Success Trade, which targeted pro athletes, and its CEO were also ordered to pay $13.7 million in restitution.
FPA Steps Up Lobbying Game With First ‘Advocacy Day’
FPA is pushing for a user-fees bill and trying to "establish relationships" with lawmakers.
13 Best & Worst 529 College Savings Plans of 2014: Morningstar
ThinkAdvisor whittled down Morningstar’s look at 84 college investment plans to see which ones do it right — and wrong.