Gensler's Terrible 10: SEC Rules That Make Wall Street Tremble
By Robert Schmidt and Ben BainThe SEC chair is laying out one of the most ambitious agendas in the SEC's 87-year history -- some 49 proposals, many already drawing opposition.
October 08, 2021
Schwab Mandates E&O Insurance for RIAsSchwab's new policy was driven by increased operational risks as advisory firms expand, it says.
October 08, 2021
How Should Advisors View Crypto Assets?Advisors should approach crypto the same way they would any other asset, says Ben Cruikshank, head of a new crypto solution for RIAs.
October 08, 2021
FINRA Clarifies Video Use, Links in Ad Rule FAQThe FAQ also addresses "targeted return" projections.
October 07, 2021
Michael Kitces: The Problems With Crypto for Financial AdvisorsKitces' concerns include a questionable investment thesis, holding and storage difficulties, and liability risks.
October 06, 2021
BlackRock Adding Annuities to 401(k) PlansThe firm expects over 120,000 U.S.-based 401(k) plan participants will be able to access the annuity option starting in 2022.
October 06, 2021
FPA Launches Support Community for Neurodivergent Financial PlannersThe Neurodivergent Planner Knowledge Circle will explore the needs of planners with autism, ADHD, dyscalculia, dyslexia, Tourette syndrome and other learning variations.
October 06, 2021
NASAA Wants to Rein in Advisors Who Fail to Pay Arb AwardsPublic comments are sought about model rules that could prompt enforcement actions by NASAA members against violators.