Court Rejects Part of Frozen DOL Rollover Rule
By Allison BellThe judge accepted the argument that one rollover transaction cannot start an "ongoing advice relationship."
July 11, 2025
Private Credit Lures the Ultra-Rich Sitting on $3.1TFamily offices represent a vast pool of capital and are increasingly seeking new sources of returns.
July 11, 2025
Stifel Hit With Suit Over Excessive 401(k) Plan Fees, Fund OptionsEmployees say the average fee of $79 is 182% higher than that of comparable retirement plans.
July 11, 2025
SEC’s Peirce Says Tokenized Securities Must Comply With RulesPutting digital versions of stocks on a blockchain doesn’t mean companies can skirt securities laws, she said.
July 11, 2025
Angry Customers Report Glitches on Schwab's Thinkorswim Platform After Market OpensThe trading platform experienced technical troubles and login issues Friday morning.
July 11, 2025
F2 Strategy Scoops Up Asset Servicing FirmThe deal to buy Aliter Investment Services is the firm's second purchase this year.
July 10, 2025
Fintech iCapital Raises $820MThe alternatives platform provider says it is now valued at $7.5 billion.
July 10, 2025
RBC Recruits $1.7B Ex-UBS Team for New Downstate NY BranchThe eight-member team joined RBC’s new branch in Westchester, New York.