SEC Broker Conduct Plan Is Not a Fiduciary Standard
By Melanie WaddellAdvocates for RIAs and consumers said the SEC didn't clearly define "best interest" in the 1,000-plus page proposal.
April 18, 2018
CFP Board and NAPFA Announce New CollaborationThe collaboration deepens a long-standing relationship and can benefit both organizations and their members.
April 18, 2018
Ron Carson Chooses His SuccessorAaron Schaben, 32, has an office nickname, "Baby Einstein," Ron Carson says.
April 17, 2018
HighTower to Buy $4.5B Salient Private ClientThe deal gives the RIA its first foothold in the Lone Star State and could put it at the $55 billion asset mark.
April 16, 2018
VanEck Launches Real Asset ETF as Inflation Hedge: Portfolio ProductsIn other product news, Research Affiliates launched a new smart beta strategy.
April 12, 2018
SIFMA Announces Principles to Safeguard Customer DataThe four principles are designed to help protect the security of customer data accessed by third-party data aggregators.
April 12, 2018
Elite Advisor Firms Aren't Feeling Fee Pressures: PershingLarge firms' biggest challenge in 2018 is hiring and development of talent, Pershing found in a poll.
April 12, 2018
Top 6 Fee, Expense Failures That SEC Will Bust You ForAn SEC Risk Alert lists the fee- and expense-related compliance failures the agency cites most frequently in deficiency letters.