What a GOP Senate Takeover Means for Dodd-Frank, CFPB, User Fees
AEI's Peter Wallison and others weigh in on what it will mean for advisors if Republicans dominate the midterm elections.
10 States With Most Advisors Headquartered
Most investment advisory firms’ main offices are concentrated in relatively few states, with distribution likely driven by access to financial markets, population and net worth.
Top 10 U.S. Public Pensions by Private Equity Investments and Returns
A new study finds private equity is public pensions’ top-performing asset class.
New Hire Roundup: Waddell & Reed Opens New Office
Meanwhile, David Stofer, Mark Nothnagel and their team join newly launched Mariner Retirement Advisors.
Top 10 Affordable Housing Markets for Millennials
A new report from the National Association of Realtors shows that some housing markets are primed for first-time buyers this fall.
Water: Resourceful Growth
American States Water (AWR) of San Dimas, Calif., is the parent company for Golden States Water Company and American States Utility Services. AWR is a high-quality utility with a strong balance sheet (58% common equity) and high credit ratings (S&P: A+). In 2014, AWR expects to invest $80 million-$90 million...
Beatty Begins 1-Year Term as NASAA President
William Beatty will focus on senior financial abuse and new electronic state filing of Form D for Rule 506 offerings.
Record S&P Masks Pain as 47% of Nasdaq Mired in Bear Market
Beneath the U.S. stock market’s record-setting gains, trouble is stirring.
BDs, Trade Groups Team Up to Clarify Murky BD Fees
FINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs’ fees are easily understood by investors.
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.