SEC Launches FinHub Portal
By Ginger SzalaThe new fintech hub provides one-stop information on digital marketplaces, automated investment, blockchain and AI.
October 18, 2018
Raymond James Nabs $1.5B Reps From Wells Fargo, Morgan Stanley and LPL: Recruiting RoundupMeanwhile, LPL Financial adds advisors from the Cetera broker-dealers; SagePoint and Securities America share details on their latest hires.
October 18, 2018
Final SEC Advice Standards Package Coming September 2019The SEC also plans to issue a final ETF rule by then, according to its regulatory agenda.
October 17, 2018
SEC Investor Advocate, RAND Issue Retail-Advice ReportThe research is aimed at helping the SEC craft its advice-standards package.
October 17, 2018
Are You a Leader or Manager?How you run your firm can make the difference between focusing on business growth and focusing on employee dissatisfaction and turnover.
October 17, 2018
Was It Right to Kill the DOL Fiduciary Rule? Bloink & Byrnes Go Thumb to ThumbProfessors Robert Bloink and William Byrnes go thumb to thumb over the rise and fall of the DOL fiduciary rule.
October 17, 2018
How These Advisory Firms Are Reinventing the Value PropositionThey outsource investment management to focus on services that differentiate their offerings from others.
October 17, 2018
SEC Reg BI Would Make It 'Substantially Easier' to Bring Enforcement Actions: PeirceThe agency's proposed Form CRS also "suffers from a paper-centric and regulator-centric status quo," SEC Commissioner Peirce said.