The SEC Is Broken
The Securities and Exchange Commission has three primary mandates: to protect investors; to maintain fair, orderly and efficient markets; and to facilitate capital formation.
5 Mistakes We Made Staffing Our Business
Advisors can learn much from these personnel fumbles.
Focus Financial Strikes 6 Merger Deals for Partners
One advisor acquisition came about through a discussion about succession planning, an executive says.
Less Affluent Americans Boost Charity; Wealthy Donors Tighten Belts
Despite earning less, middle- and lower-income Americans have increased the share of their income thay give to charity since the recession.
20 Best & Worst States for Pension Funding
Data from S&P shows the health of public retirement funds.
New Hire Roundup: ABIA Elects New Board Members
This week, the American Bankers Insurance Association elected new board members, and Deutsche Asset & Wealth Management hired four regional VPs.
Saving Exploited Elders
Every day at least 1,000 elderly Americans are financially exploited or abused.
SEC's White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
Securities and Exchange Commission Chairwoman Mary Jo White said in September that she has asked the SEC to place a “high priority” on its fiduciary rulemaking options list.
Will Calpers’ Hedge Fund Flight Spook Other Public Pensions?
Most investors appear unlikely to follow suit in the near term, according to hedge fund experts.
SEC’s White: Fiduciary Rule Important, but Dodd-Frank, JOBS Mandates Come First
Chairwoman Mary Jo White told senators Tuesday that a fiduciary options list is a "high priority," but legally mandated rulemakings must take precedence.