SEC, FINRA Priorities: 7 Steps to Stay Compliant
By John ManganaroThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC RoundupNick Morgan and Tom Zaccaro talk with Bloomberg columnist Nir Kaissar about the interaction of two controversial proposals.
February 09, 2023
How an Advisor Invests NFL Players' Wealth"Don't invade the principal!" Lee Rawiszer urges his clients from the Chicago Bears, Minnesota Vikings and New York Giants.
February 09, 2023
Alan Moore to Step Down as AdvicePay CEOThe company's co-founder will shift to executive chairman of the board.
February 09, 2023
Latest LPL Service for Advisors: Partial Book SalesAdvisors who need a quick way to reduce the size of their practices can now shift clients to LPL Financial.
February 09, 2023
Infrastructure Investments Help Power Clients' AnnuitiesNew federal programs could increase those assets' appeal.
February 09, 2023
AllianceBernstein Cuts More Than 100 JobsFirms industrywide have eliminated positions recently as they respond to business line slumps and prepare for possible recession.
February 09, 2023
12 of the Best Stock Index Funds, ETFs to Invest in Now: MorningstarThese gold-rated funds track a variety of indexes.