SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play Activities
By Melanie WaddellGovernment plan solicitors can continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime, says Cipperman.
November 07, 2017
Wells Fargo Finally Launches Its Robo-Advisory ServiceIntuitive Investor is available for clients with a minimum $10,000 in assets for a fee of 50 basis points.
November 06, 2017
DOL Rule Delay Will Likely Be Final in 3 Weeks: AcostaMeanwhile, NAFA asks for a delay of oral arguments, while Thrivent wins some relief from anti-arbitration rules under BICE.
November 06, 2017
Retail Investors Clamor for ETFs as Inflows Grow 19%: BroadridgeActively managed funds are falling farther and farther behind in the race for new money and new clients, Broadridge's Jeff Tjornehoj says.
November 03, 2017
Fintech Deployment Woes? Call In the ‘New Gatekeeper’ TeamThe choice of technology solution whether for CRM, planning or practice management is often fraught with peril.
November 03, 2017
Number of Advisors Going Indie Up 75% Since 2012: SchwabSchwab Advisor Services analyzed SEC registration data to determine the number of advisors who entered the independent space.
November 03, 2017
Raymond James' RIA Unit Is on a RollThe unit boosts assets 36%, topping overall AUM growth for the firm's private client group.
November 02, 2017
Platform by cleverDome Would End VPNs, Shift Data to Trusted NetworkAt t3 conferernce, cleverDome says it would eliminate the need for VPNs, seeking to move financial data off the open internet.