SEC to Move Examiners From BDs to RIAs in 2016: Chief White
By Melanie WaddellAt SEC Speaks, Mary Jo White talks about shifting 100 examiners to RIAs and says she'll continue to develop support for fiduciary rule.
February 12, 2016
LPL Shares Tank on Downgrade, 45% Profit Drop in Q4The IBD says it will begin releasing monthly data and sees lower brokerage sales to come.
February 11, 2016
Recruiting Roundup: LPL, Stratos Wealth Attract $200M TeamsTwo advisors leave Wells Fargo to join the Scottsdale office of Stratos, a growing hybrid RIA.
February 10, 2016
Amid Volatility, Portfolio Management Is Top Advisor Concern: FidelityAdvisors have become more concerned about portfolio management since the middle of 2015, according to Fidelitys Advisor Investment Pulse survey, as market volatility has increased.
February 09, 2016
Lisa Dolly Named CEO of Pershing; Lori Hardwick of Envestnet Replaces Her as COOPershing veteran Dolly succeeds Ron DeCicco, who will retire. She will be the first female CEO at Pershing.
February 09, 2016
AlphaSimplex Hires New Investment Committee AdvisorThe firm, founded by MIT professor Andrew Lo, has hired former SSGA CIO Alistair Lowe as senior advisor to its investment committee.
February 08, 2016
How Advisors Can Help the Community, Boost Their BusinessAt TD Ameritrades National LINC conference in Orlando, attendees discussed ways they were positively interacting with their communities and the benefits to their businesses.
February 05, 2016
Next-Gen Panelists Talk About How They Became AdvisorsAt the TD Ameritrade conference, a panel of financial planning students, veteran advisors and career changers discussed ways the industry can attract younger advisors.