SEC Expected to Shift Focus to Advisors, BDs Under Biden
By Melanie WaddellThe SEC under Gensler will shift priorities away from retail investor fraud toward the conduct of institutions, securities lawyers predict.
January 19, 2021
How the TD Ameritrade Deal Affected Schwab's Q4 EarningsSchwab beat estimates and RIA assets topped $3 trillion in its first quarterly report after the deal, which closed Oct. 6.
January 15, 2021
Schwab Launches 2 Custom-Built Variable Annuities: Portfolio ProductsAlso, Direxion rolls out World Without Waste ETF.
January 15, 2021
Jud Mackrill Exits Carson Group to Start Fintech FirmThe executive steps down as Carson's chief marketing officer after two years to co-found Milemarker in South Carolina.
January 15, 2021
RBC Adds 2 UBS Teams With $900MThe firm welcomed a new group of advisors to its Lincoln, Nebraska branch.
January 15, 2021
Why Digital Disruption Matters for Your PracticeNow's the time to focus on giving your clients the ability to make a request and have it fulfilled as fast as Uber can deliver a ride.
January 14, 2021
Wealth Enhancement Group Nabs $727M RIA in ConnecticutThe addition of Reby Advisors will increase WEG's metro New York location count to eight.
January 14, 2021
Citi Revamps Its Wealth BusinessCiti has pooled its institutional and retail wealth management teams to form a single unit, Citi Global Wealth.