Drop the Jargon: Clients Don’t Care
"When I hear the word 'underwriting,' I have a mental picture of people working in hell with typewriters," one consumer said in a LIMRA presentation.
Using Leveraged and Inverse ETFs to Manage Market Risks
Leveraged and inverse ETFs can magnify the gains on a market rise or a short sale. But they aren't for everyone.
8 Best Financial Companies to Work For: Fortune
These financial companies that work with advisors are included in Fortune's list of the Best Companies to Work For in 2015.
Top 10 Smartest States for Financial Literacy: 2015
Residents in these locales have a head start on planning and saving, according to WalletHub.com.
10 Best States for Retirement: 2015
Crime, weather and taxes factor into how the states stack up, according to Bankrate.
SEC Mulls Adding SMA Info to Form ADV
The regulator may also be considering asking about leverage, securities lending and other factors to better gauge risk, IAA says.
Second Round of Cyber Exams Coming in Summer: SEC’s Jarcho
SEC will also resume exams of alternative mutual funds, looking at 30 to 40 funds across 25 to 30 sponsors.
GOP Reps Demand Proof DOL Didn’t Go It Alone on Fiduciary
Lawmakers tell Secretary Perez to hand over SEC correspondence, but advocates say Congress’ efforts to stall the fiduciary redraft are futile.
Advisor Exam Changes Afoot: IAA’s Chief Lobbyist
IAA's Neil Simon says exam changes are coming for the same reason the DOL fiduciary rule won't languish at OMB: the political pressure is on.
Dishonest Services: SEC’s Fight Against Public Corruption
We often think of laws to combat corruption as anti-bribery and anti-kickback laws. But the SEC is increasingly using securities fraud laws as a tool.