Dodd-Frank Rulemaking Like ‘Shoveling Manure’: SEC’s Gallagher
The SEC won “the Dodd-Frank ‘booby prize,’ and we are still paying the price over four years later,” said SEC Commissioner Daniel Gallagher.
Should 401(k)s Have Bitcoin?
Its advocates acknowledge it's a risky investment but, they say, acceptance is growing, as is interest from institutional investors.
Robo-Advice ‘Not a Zero-Sum Game’ as Schwab Stomps Into Arena
Pershing conference speakers take a "wait-and-see approach" to Schwab’s new automated service; robo-advisors seen as threat to full-service brokers.
Schwab to Unleash No-Fee Robo-Giant
Schwab Intelligent Portfolios for retail investors has minimum of $5,000; will roll out early next year, followed by an RIA version.
The Rainmaker's Reign is Over
Almost 10 years ago, I wrote about a serious issue for advisors that was not getting the attention it deserved. In this article, I present another major issue that the industry must address or suffer the consequences: the lack of an integrated marketing approach to grow their firms in the...
SEC Responds to Market Volatility by Ramping Up Bond-Fund Exams
Surging market volatility is making regulators increasingly concerned that bond funds have loaded up on hard-to-sell assets.
SEC Wants Exchange-Traded Funds to Be Easy to Trade
An efficient-markets-fundamentalism model of the SEC is actually pretty good for predicting what the SEC will do. Except about insider trading, I guess.
Morningstar to Provide Equity Research, Ratings to Schwab
The partnership will give Schwab access to Morningstar's global equity analyst reports and ratings.
Cetera Strikes IPO Investment Deal With JMP, Expands Tech Ties With Broadridge
The group's 9,700 advisors will be able to offer retail clients access to initial public offerings and its financial-institution clients more self-clearing capabilities.
Emerging Market Infrastructure Needs Highlight Global Opportunities
Brazil's next president will have much to do to kick-start the nation's sagging economy, including addressing its infrastructure lacuna.