New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
HD Vest Reps Add $94M in AUM Thanks to Tax Talks, Tools
An enhanced software program helps reps process more client information so they can grow their practices.
SEC, DOL Enforcement: Ex-Mayor Fined for Misleading Movie Studio Investors
Meanwhile, two Canadian citizens were charged with conducting an international microcap fraud scheme.
Schwab’s Bettinger, Clark: RIAs Must Evolve; Robos in ‘Top of the First’
Welcoming attendees at biggest-ever Impact, Schwab CEO and RIA chief explain robo-advisor strategy and call on RIAs to embrace the challenge of “Generation Now.”
Lobbyists Gear Up to Prod New Congress on User Fees, Retirement, Cybersecurity
The IAA, for one, sees an opportunity to gain Republican support for an SEC user-fees bill.
Valliere: Despite Victory, Republicans Shouldn’t Think Voters Love Them
Strategist Greg Valliere cautioned that the midterms were a referendum on Obama, not the GOP, and discussed what he said were six big political myths.
What Low Oil Prices Mean for MLPs
How likely is it that MLPs will recover (and even outperform) after weakening tied to falling energy prices?
Tax Extenders Bill in Jeopardy as Debt Limit Looms
“No one has any idea how to pay for that,” one analyst says.
10 Richest Members of Congress: 2014
As midterm elections near, it's good to know which legislators have the most amount of money, and if it means they are less effective legislators.
SEC Enforcement: Layne Christensen Fined $5M on Bribery Charge
Meanwhile, the SEC sanctioned Florida-based auditor Eliot Berman for violating federal laws and regs.