SEC Chief Wants Advisors, BDs to Improve 'Cyber Hygiene'
By Melanie WaddellOne possible course of action: altering the "timing and substance" of required customer notifications under Reg S-P.
January 24, 2022
Morgan Stanley's Slimmon Warns Against Buying Growth-Stock DipHe also explains how the MSIF U.S. Core Portfolio fund he co-manages beat the S&P 500 with a 36% gain in 2021.
January 24, 2022
How Culture Might Help the Great ResignationSuddenly, employee retention has buzz.
January 24, 2022
Agent Basics for Clients Who Like WineFor this purpose, it's time to go beyond the $2 specials.
January 21, 2022
New Bill Would Fund States' Efforts to Protect Older InvestorsThe Empowering States to Protect Seniors from Bad Actors Act would create a grant program run by the SEC.
January 21, 2022
First Black CFP Board Chairwoman Aims to Be 'New Face' of Financial PlanningIncreasing access to, and diversity in, the profession are among the CFP Board's main priorities, Kamila Elliott tells ThinkAdvisor.
January 21, 2022
IRS to Hire 200 Attorneys to Combat Tax SchemesNew hires will help the IRS manage its increasing caseload in its multi-year effort to stamp out abusive schemes.
January 21, 2022
Creative Planning's Huge Step Into 401(k)sCEO Peter Mallouk tells ThinkAdvisor what's ahead for the 401(k) participants now serviced by his firm and why he does so many deals.