SEC Reg BI's Economic Analysis Too Weak, Will Face Legal Challenges: SEC's Jackson
By Melanie WaddellIf the analysis "is not up to snuff, you're basically giving the market a call option" to strike down the rule, Jackson said.
March 13, 2019
New Concierge Service Helps Advisory Firms With CybersecurityEntreda's add-on for clients using Unified software provides 24/7 personal service.
March 13, 2019
SEC Seeks Input on Advisors' Custody of Digital AssetsIssues have been raised about the regulatory status of advisors' custodial trading practices involving certain assets.
March 12, 2019
FPA Launches College Funding Advice CourseAdvisors can earn 11 CFP continuing education credits if they complete the course.
March 12, 2019
Wells Fargo 'Has Gone Above and Beyond,' CEO Sloan Tells LawmakersHouse Financial Services Committee Chairwoman Maxine Waters said the bank is "too big to manage."
March 11, 2019
Advisors to Return $125M in 12b-1 Fees Under SEC Share Class InitiativeMore than 70 advisors self-reported that they improperly sold clients mutual fund shares with 12b-1 fees.
March 11, 2019
Top 10 Estate Planning Tax Facts for 2019After the major tax overhaul, here are the top estate planning issues that clients may need to consider this year.
March 11, 2019
These 'Future Shocks' Could Shake Up Wealth ManagementToffler Associates CEO Maria Bothwell tells ThinkAdvisor about four major drivers of change advisors need to watch.