5 Years In, Reg BI Is Still Unclear to BDs
By Melanie WaddellCompliance professionals say Reg BI has been a heavy lift but has helped to derisk the industry.
May 16, 2025
Active Investors' Pessimism Hit a Two-Year High in April: SchwabThe quarterly survey saw bearish sentiment spike significantly.
May 15, 2025
11 Best & Worst Broker-Dealers: Q1 Earnings, 2025Two of the firms reported earnings declines from a year ago — one tied to a large regulatory payment.
May 14, 2025
Retiree Sues Schwab, Hightower Over $422,000 Portfolio LossThe firms misrepresented a risky margin loan as a safe credit line and made unauthorized trades, the suit says.
May 14, 2025
Betterment Acquires Direct Indexing, Tax Optimization ProviderRowboat Advisors' software will help RIAs develop more personalized portfolios.
May 13, 2025
Vanguard Shared Client Trades With Google and LinkedIn: LawsuitThe proposed class action involves consumers who use Vanguard's website or mobile app.
May 13, 2025
Optimism Is Back as Stocks Rally on China Tariff DealEd Yardeni boosts his S&P forecast, while bullish Jeremy Siegel notes stock optimism assumes tariff resolution.
May 09, 2025
Vanguard, Blackstone, Wellington to Launch Private Markets FundThe firms have laid out plans for an interval fund.