SEC Provides Relief to Advisors, BDs From European MiFID II Rules
By Melanie WaddellThe action reduces the substantial uncertainty our members have lived under as they have tried to plan for implementation of MiFID II," said IAA's Barr.
October 27, 2017
New SEC Task Force to Use Data to Root Out Advisor FraudThe task force will use data analytics to spot misconduct like mutual fund share class and wrap-fee account abuse.
October 27, 2017
More Retirement Plans Add Auto-Enrollment, Auto-Escalation FeaturesA survey by Alight Solutions covering nearly 10 million employees and $775 billion in assets found an increase in these savings-boosting strategies.
October 26, 2017
FINRA Regulatory Chief Axelrod to DepartAfter 28 years at FINRA and its predecessor, Susan Axelrod will step down.
October 25, 2017
$2B Trilogy Group Transitions From NPH to LPLIn other news, Ameriprise recruits Wells Fargo reps with nearly $370 million in assets.
October 25, 2017
Schwab Shows RIAs How to Stand OutThe many shades of independence can create confusion in the minds of investors, but a new ad campaign aims to resolve this.
October 25, 2017
HighTower to Sell Big Stake to PE FirmThomas H. Lee Partners is buying a large interest in the RIA consolidator, which has about $50 billion in assets.
October 25, 2017
Complex Client Chats Could Be Untangled by Speech SoftwareGridspace says its analysis software, from SRI Speech Labs, would eventually fit the needs of the financial advisory space.