Economy & Markets
The important economic and stock market news that advisors need to know.
SEC's Avakian Details Next 12b-1 Fee Crackdown
By Melanie WaddellThe Enforcement Division is focused on advisor disclosures and conflicts associated with bank deposit sweep programs.
November 26, 2019
Clients Want You to Help Them Through a Recession: MDRT SurveyMany survey participants said talking to people like you makes them feel more confident.
November 25, 2019
Schwab-TD Ameritrade Deal: The Fallout for Smaller RIAsA key issue: Which custodial platform will prevail?
November 25, 2019
13 Best & Worst Broker-Dealers: Q3 Earnings, 2019Trends uncovered earlier this year continue in the latest quarter -- with a few notable exceptions.
November 25, 2019
Vanguard Changes Key Leaders in Investment Management: Portfolio ProductsAlso, Hennessy Funds completed rebalancing of its Mid Cap 30 concentrated portfolio.
November 25, 2019
Cybersecurity a Bore? Not When You Get HackedFraudsters now use "social engineering" to tailor attacks. Make sure you and your clients are educated on what to look for.
November 21, 2019
Investors Should Pay Attention to 2020 Election, Strategists Say"We continue to say 'Don't get too caught up on elections,' but the U.S. election is the exception."
November 21, 2019
Schwab-TD Ameritrade Deal Is No Sure ThingA merger of the two larger brokerage firms faces antitrust and other hurdles, according to some key industry watchers.