Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's Peirce
By Melanie WaddellThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 21, 2021
BNY Mellon's Pershing Realigns U.S. BusinessEffective May 1, the firm will be newly aligned under two main segments: Wealth Solutions and Institutional Solutions.
April 21, 2021
10 States With Highest Average Retirement SavingsPersonal Capital looked at the retirement accounts of its 2.8 million dashboard users.
April 21, 2021
Ark Invest, DFA, Invesco Score Big in ETF.com AwardsCathie Wood's Ark Investment Management was declared the ETF issuer of the year and its ARKK the ETF of the year.
April 21, 2021
Putnam Names Next Head of Institutional ManagementKaitlin M. May will take over on July 1, when current head Jeffrey L. Gould retires.
April 21, 2021
House Passes Bill Requiring SEC, CFTC Digital Assets Working GroupMeanwhile, a bill that would end mandatory arbitration in financial services has re-emerged.
April 21, 2021
Client Relationships and Mail ManagementYou've updated your e-mail systems. How about your postal mail systems?
April 21, 2021
Anthem Increases Medicare Advantage Enrollment 15%Both net income and revenue were up, in spite of the pandemic.