Commonwealth Still Grappling With SEC Over 12b-1 Fees
By Melanie WaddellThe regulator wants more data about revenue sharing, as the firm seeks a protective order.
September 04, 2020
Morgan Stanley to Close Global Opportunity Portfolio to New Investors: Portfolio ProductsAlso, AdvisorShares launched the Pure US Cannabis ETF.
September 04, 2020
Schwab, Vanguard, Other Platform Glitches Unrelated to Apple, Tesla Splits, Firms SaySeveral major trading platforms experienced outages and other problems on the day of the stock splits.
September 03, 2020
DOL to Move Ahead on Fiduciary Plan Despite CriticismLabor says it won't hold a second hearing or reopen comments; critics say it should wait and see how Reg BI plays out.
September 03, 2020
Envestnet | MoneyGuide Teams With FIDx on Annuities: Tech RoundupAlso, Lincoln Investments selected Riskalyze for tech.
September 03, 2020
Focus Partner Firm Buckingham Adds 2 RIAsThe new wealth groups — one of which is an all-female team — work with a combined $343 million in client assets.
September 03, 2020
Top 9 LinkedIn Mistakes Advisors MakeLinkedIn can be the 21st century's answer to the cold call — if you use it the right way.
September 02, 2020
3 Steps to Better Client Referral RatesBoosting organic growth is hard, but asking employees for their ideas and using innovative processes can make it easier.