Vanguard Adds Fees for Some Brokerage Services
By Dinah Wisenberg BrinVanguard will charge $25 to buy or sell its ETFs and mutual funds over the phone, with some exceptions.
May 02, 2024
Beware of Double Jeopardy in SEC Proceedings: SEC RoundupAfter federal court litigation, the SEC may seek to bar you for the same conduct.
May 02, 2024
Prudential Exec Sees Office Prices Falling 15%For Pru's portfolio, the impact of the slump has been manageable, Vice Chairman Robert Falzon says.
May 02, 2024
SEIA Strikes Deal for $2B RIA in ClevelandThe firm sees "significant additional acquisitions" ahead, Signature Estate and Investment Advisors CEO Brian Holmes says.
May 02, 2024
Advisor Annuity Conversations Often Lead to Transactions: Global AtlanticThe insurer also found that 19% of advisor clients surveyed plan to buy long-term care insurance.
May 02, 2024
FINRA Files to Extend CE Deadlines for Brokers on a BreakBrokers who left the industry would have more time to complete CE requirements under FINRA's Maintaining Qualifications Program, or MQP.
May 02, 2024
With Fresh Genstar Funding, Cetera Charges AheadThe firm is building on some big-ticket acquisitions after its recent recapitalization, Cetera Holdings CEO Mike Durbin says.
May 01, 2024
3 Reasons Cash Is King AgainReturns on cash are competitive now, and your clients might have more of it than you think.