Excited About SEC's New Ad Rule? Not So Fast
By Melanie WaddellAdvisory firms are itching to use testimonials before their compliance departments are ready.
June 14, 2021
Merrill Exec Expects New, Shorter Advisor Program to Quadruple Success RateThe firm's new 18-month Advisor Development Program should increase its advisor success rate to 80%, Andy Sieg says.
June 14, 2021
SEC Plans More Changes to Accredited Investor DefinitionRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.
June 14, 2021
Schwab Assets Up 84% After Stock Surge, TD Ameritrade DealTotal client assets were about $7.4 trillion as of May 31, up from roughly $3.8 trillion a year earlier.
June 14, 2021
15 Market-Beating Stocks That Are Still Undervalued: MorningstarThese stocks are beating the market yet still have room to run, according to the research firm.
June 14, 2021
Millions of Americans Plan to Retire Later Due to Pandemic: Age Wave StudyThe study also found that the pandemic has forced Americans to reset their priorities.
June 14, 2021
Jury Awards $114M in United of Omaha Rescission CaseThe insurer says the insured left information about chronic lung disease off of her application.
June 14, 2021
Dentist Turned Advisor Fined Over Fraudulent OfferingsThe advisor has agreed to pay $600,000 to settle allegations he engaged in three separate securities frauds, the SEC says.