Envestnet Adds Structured Products, Teaming With Goldman Spinoff: Tech Roundup
By Jeff BermanAlso, Goldman Sachs Advisor Solutions picks InspereX's BondNav as fixed income market tech for independent RIAs.
November 17, 2021
FINRA Makes Big Adjustments to CE RulesThose registered with FINRA must now complete continuing education requirements yearly instead of every three years.
November 17, 2021
SEC Moves to Reverse Trump-Era Restrictions on Proxy Advisory FirmsThe plan would end requirements that proxy advisory firms share recommendations with executives and shareholders.
November 17, 2021
Active Share Fails to Identify Winning Funds: MorningstarA new report found that relatively high fees and high risk contribute to the disappointing performance of high active share funds.
November 17, 2021
Clients Want Tax-Smart Advice, and Most Aren't Getting It: OrionOnly 20% of advisors employ ongoing, automated tax management, according to a survey commissioned by Orion Advisor Solutions.
November 17, 2021
FINRA: Ex-Northwestern Mutual Rep Misused Funds Raised for Kids' Cancer CharityFINRA barred the broker for allegedly sending donated funds to his own bank account instead of the charity they were supposed to go to.
November 17, 2021
New York Life Names Craig DeSanto to Be Next CEOThe former company intern is the author of a popular ThinkAdvisor article about whole life.
November 17, 2021
World's 16 Biggest Wealth Management Firms by Advisor Headcount: 2021Here are the wirehouses, BDs and other firms who report having the most advisors, according to Aite-Novarica Group.