LPL Grabs TD Ameritrade Exec to Lead Trading
By Janet LevauxBen Welch comes on board less than a month after Charles Schwab wrapped up its $22 billion purchase of the former rival.
October 30, 2020
Buckingham to Acquire $782M Oregon RIAThe addition of Confluence Wealth Management marks the sixth strategic partnership for Buckingham so far this year.
October 30, 2020
Should Compliance Officers Be Held Personally Liable? SEC's Peirce Weighs InToo much liability could discourage talented people from working in compliance, the SEC commissioner says.
October 29, 2020
SEC Doles Out New Whistleblower Award, as Advocates Fret Over Rule ChangesOverall, the program awarded more than $175 million to 39 whistleblowers in the fiscal year that ended Sept. 30.
October 29, 2020
New Dalbar Offering Aimed at Helping Advisors Improve Investor BehaviorQAIB Advisor Studio is available for $250 a year.
October 29, 2020
YCharts Adds Dynamic Model Portfolios: Tech RoundupAlso, Apex Clearing teams with Altruist to provide advisors a "frictionless" investing experience.
October 29, 2020
The 7 Deadly Sins of Working From HomeWorking remotely presents opportunities, but we need to avoid temptation.
October 28, 2020
Does Your Advisory Firm Need Financial Advice?The most effective — and easiest — way to improve advisory firm performance is to check four key data points (rather than just one).