FINRA Boosts Asset-Backed Securities Market’s Transparency
By Dec. 4, asset-backed securities transactions will be available to the public no later than 15 minutes after the trade is executed.
FINRA Floats ‘Watered Down’ BrokerCheck, Broker Bonus Rules
The new broker bonus plan “runs counter to the current industry debate” over a common fiduciary standard, which brokerage firms largely favor, lawyer Patrick Burns says.
Chuck Schwab: Slaying Wall Street Dragons—The 2015 IA 35 for 35
Schwab’s values-driven management helped create a firm that made investing more accessible.
Many Investors Expecting Double-Digit Returns Prefer Lower-Risk Investments
Individual savers are feeling increasingly confident and want to invest more, but many have an unrealistic view on how their assets will perform, a Schroders survey found.
A Little-Known Bond Vehicle for When Interest Rates Rise
Target date bond ETFs have been skating under the radar since 2010. But that could change when markets become convinced that rates will soon rise.
Let the Robots Do Your Taxes
Capital gains taxes are a far trickier beast than passive asset allocation—so tricky, only a robot might be able to defeat it.
Schwab Posts 7% Profit Decline for Q1 Despite Asset Growth
The company points to higher compensation costs as a cause of its falling net income.
This Is What the Fiduciary Debate Is Really About
Financial advisors are taking the lives of their clients in their hands. If advisors don’t understand this, they can do a lot of damage.
The S&P 500’s Dubious Anniversary: Ritholtz
The S&P 500 index looked very different 27 years ago than it does today, Barry Ritholtz writes.
For Product Providers, Wirehouses Still Rule: Cerulli
Though wirehouses' market share is declining, they still hold the biggest share of assets, so product providers must adapt to their changing needs, Cerulli says.