SEC Sets June 5 Vote on Regulation Best Interest
By Melanie WaddellThe SEC may also provide a new interpretation of "solely incidental" advice.
May 23, 2019
Raymond James Nabs $1.6B Merrill, Wells Fargo Teams: Recruiting RoundupMeanwhile, four UBS advisors have gone independent with Dynasty Financial Partners, and a wirehouse family team joins LPL Financial.
May 22, 2019
Learn From Your Younger Team MembersImplementing a reverse mentorship program has many benefits, which firms of any size can realize.
May 22, 2019
Advisors Need Advisors, TooRIAs need to understand the math: The more a practice is worth, the more the owner can sell it for upon retiring.
May 22, 2019
LPL to Enter Employee ChannelThe firm also plans to boost tech spending, in part to support this move.
May 22, 2019
Broadridge Acquiring RPM Technologies to Expand Canadian PresenceThe purchase will further strengthen Broadridge's Canadian wealth management business.
May 22, 2019
NASAA Adopts Cyber, Privacy Model Rule, Releases Annual ReportNASAA is also exploring a continuing education requirement for IARs.
May 20, 2019
Morgan Stanley to Move to Monthly BillingThe change is intended to more clearly align account statements with the fees clients are charged.