Ex-Broker Convicted of Aiding ISIS
By Jeff BermanRuslan Maratovich Asainov left financial services, traveled to Syria and became a sniper, according to the DOJ.
February 10, 2023
Lincoln Financial to Tilt Away From Some Term Life ProductsCEO Ellen Cooper says the product eats up too much capital.
February 10, 2023
SEC, FINRA Priorities: 7 Steps to Stay CompliantThe new lists from FINRA and the SEC are collectively longer and more involved than ever, Smarsh says.
February 10, 2023
Nassau Financial Adds a Bonus AnnuityThe move could be a sign that higher interest rates are starting to revive insurers' willingness to offer annuity guarantees.
February 10, 2023
Are You Playing It Too Safe With Clients' Investments?Advisors are systemically investing more conservatively than would be implied by clients' stated risk tolerance, new research suggests.
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.