Prepare Now for Business Recovery Events
By Dan SkilesEven if you don't live in hurricane country, it's smart business to be ready for work stoppages big and small.
October 30, 2017
What Morgan Stanley’s Broker Protocol Exit Means for AdvisorsMorgan Stanley says the accord has become unsustainable; a recruiter says the policy change could make it harder for advisors to leave.
October 30, 2017
SEC Provides Relief to Advisors, BDs From European MiFID II RulesThe action reduces the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
October 27, 2017
LPL’s Advisor Force Dipped in Past YearQ3 net new advisory assets grew by $6.9 billion from a year ago, but net new brokerage assets experienced outflows.
October 27, 2017
Morningstar’s Good and Bad 529 Savings Plans in 2017Morningstar has upgraded ratings for six 529 college savings plans and downgraded ratings for three.
October 27, 2017
New SEC Task Force to Use Data to Root Out Advisor FraudThe task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
October 27, 2017
More Retirement Plans Add Auto-Enrollment, Auto-Escalation FeaturesA survey by Alight Solutions covering nearly 10 million employees and $775 billion in assets found an increase in these savings-boosting strategies.
October 26, 2017
FINRA Regulatory Chief Axelrod to DepartAfter 28 years at FINRA and its predecessor, Susan Axelrod will step down.