SEC Highlights Top Advisor Ad Violations
By Melanie WaddellOCIE risk alert details advisors' failures to comply with Rule 206(4)-1, also known as the Advertising Rule.
September 11, 2017
What Workers Want, and Aren’t Getting, From Their 401(k) PlansA new survey from Betterment for Business finds that many plan participants want a lot more service than their plans provide.
September 11, 2017
FinaMetrica Offers XYPN Members Risk Tolerance Toolkit: Portfolio ProductsIn addition, Franklin Templeton launched two new municipal bond ETFs and Sage Advisory Services added a customized laddered muni strategy.
September 08, 2017
Number of RIA Deals Could Reach Triple Digits in 2017: SchwabThe 2017 transaction volume is keeping pace with the 2016 total of 94 deals.
September 08, 2017
FINRA Mulls Releasing ‘Bulk’ BrokerCheck DataBulk data on broker-dealers would give view into BDs that employ brokers with a history of FINRA violations, Cook said.
September 08, 2017
Tom Bradley’s Sad, but Unsurprising, Exit From TD AmeritradeIndustry watchers explain why the popular institutional and retail chief saw his role eliminated after a $4 billion merger with Scottrade.
September 07, 2017
Bradley Out at TD Ameritrade, Scottrade Exec InTom Bradley, who built TD Ameritrade's RIA business, was not picked to lead the merged firm's retail distribution.
September 07, 2017
RiXtrema Launches New Fiduciary Compliance ToolRiXtrema has made updates to help advisors and broker-dealers monitor retirement plans for compliance with the Supreme Courts Tibble v. Edison decision.