SEC to Probe Advisor, BD Fiduciary Compliance With ReTIRE Initiative
By Melanie WaddellGone are the days of a long, full-scope exam, said acting exam director Pete Driscoll.
March 02, 2017
Nationwide completes Jefferson National acquisitionThe addition of Jefferson Nationals 4,000 RIAs and fee-based advisors makes 'for a perfect complement' to the insurance carriers distribution force.
March 01, 2017
Dynasty Lands $750M Wirehouse Group in Houston: Recruiting RoundupMeanwhile, Ameriprise shares the names of its newest advisors; GW&K announces the names of recently tapped partners.
March 01, 2017
Buffett Backlash: Fund Execs Criticize Sage’s Grim View of Active InvestingPassive index funds are not necessarily the best investments for all investors at all stages of their lives, some fund professionals argue.
March 01, 2017
TD Ameritrade Cuts Trade Commissions to $6.95 in Latest Price War SalvoOne day after Fidelity cuts were matched by Schwab, TD trimmed online equity, ETF and options trading costs.
February 27, 2017
How Young Financial Advisors Can Invest in ThemselvesOne of the most overlooked parts of advancing one's career is self-investment.
February 27, 2017
What Do You Do When the FBI Is at Your Door?It is not uncommon for an advisor to be contacted by criminal authorities regarding accounts they manage.
February 27, 2017
Most Middle-Income Boomers Feel Unprepared for Retirement: SurveyJust 31% of middle-income boomers feel prepared for retirement now compared to 41% before the financial crisis, according to a Bankers Life survey.