Sen. Warren Urges Obama to Fire SEC Chief Mary Jo White
By Bernice NapachWarren says White is not addressing pressing matters of compelling interest to investors and the public.
October 11, 2016
Is LPL Financial Up for Sale?The independent broker-dealer is reportedly exploring a variety of possible moves.
October 11, 2016
SEC Hit Advisors With Record Enforcement Actions in FY ’16New single-year high for actions involving advisors and most ever independent or standalone cases involving advisors in FY 16.
October 10, 2016
Top Portfolio Products: Envestnet Launches DOL Compliance SolutionThe platform enhancement is designed to help advisors comply with the new rule as part of a "seamless wealth management process."
October 10, 2016
Envestnet Acquires Data Analytics Provider Wheelhouse AnalyticsWheelhouse Analytics is a provider of data analytics and mobile sales solution, and could help with DOL fiduciary compliance.
October 06, 2016
5 Trends in How Advisors Work With Retirement Income ClientsA Practical Perspectives survey finds that retirement income relationships represent more than half of all assets managed for most advisors.
October 05, 2016
Recruiting Roundup: LPL Affiliated Reps Jump to Focus Financial, Form $600M RIAMeanwhile, the Harvest Group breaks away from UBS with about $300 million in assets; more
October 04, 2016
15 Firms, Including 3 Super OSJs, Join FSIOne of the new member firms is affiliated with LPL Financial, which is not part of the industry group itself.