SEC Examined 15% of RIAs Despite Pandemic: Driscoll
By Melanie WaddellThe Securities and Exchange Commission's exam division conducted more than 2,950 examinations in fiscal year 2020.
November 23, 2020
SEC Needs to Take 'Bottom to Top' Review of Fixed Income Markets: CrenshawThe next chairman or chairwoman will likely "take a hard look at the commission's approach to ESG," Crenshaw said.
November 23, 2020
Pershing's Lockwood Rolls Out New UMA ProgramThe minimum account size for the UMA is $50,000, and its annual program fee starts at 30 basis points.
November 22, 2020
Annuities Could Stop Retirees From Going Broke. Why Don't More People Use Them?The Stanford Longevity Project and Principal Financial Group look at why many retirees don't use annuities and how to address their concerns.
November 20, 2020
10 Favorite Investing Books: Advisors' AdviceAdvisors told us about the books that helped them build their investing knowledge and shape their strategies.
November 20, 2020
Commonwealth Expanding Menu of VIP Options in 2021Commonwealth Connect and Brand Studio are two areas of focus for the firm in 2021 and beyond.
November 19, 2020
SEC: Compliance Officers Need More AuthorityA new Risk Alert flags numerous areas where advisors are falling short on the Compliance Rule.
November 19, 2020
SEC Enacts Long-Awaited E-Signature RulesThe amendments include requiring electronic filing and service of documents in administrative proceedings.