Alex Oh Named SEC Enforcement Chief
By Mike ScarcellaShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.
April 22, 2021
NAIC Aims to Understand Federal Annuity Sales Standard Regulators: IRI ConferenceThe group's president said his own state has been too busy to adopt the NAIC's suitability update this session.
April 22, 2021
Life Agents May Face New Login Processes: IRI ConferenceNovarica's CEO says criminals are already using data from P&C agent portals to steal identities.
April 22, 2021
Advisor Group Rolls Out Next-Gen, Business Growth ProgramsMeanwhile, Ladenburg Thalmann Asset Management CEO Philip Blancato has taken on an additional role.
April 22, 2021
COVID-19 and the Life Settlement MarketThe supply of policies has been weak, but that could change quickly.
April 22, 2021
Anthem Says COVID-19 Vaccines Might Hurt Its EarningsThe company still expects to report big profits, but dose administration costs are going up.
April 21, 2021
How to Bridge the ESG Divide Between Advisors, ClientsA recent report from Cerulli Associates provides some recommendations.
April 21, 2021
Merger of Schwab, TD Ameritrade Advisor Referral Networks BeginsSchwab is slashing the number of RIA firms in the referral program to 175 from 298, it says.