Alex Oh Named SEC Enforcement Chief
By Mike ScarcellaShe "has the expertise as a highly respected lawyer to ensure that the SEC protects investors," SEC Chairman Gary Gensler said.
April 22, 2021
Life Agents May Face New Login Processes: IRI ConferenceNovarica's CEO says criminals are already using data from P&C agent portals to steal identities.
April 22, 2021
Anthem Says COVID-19 Vaccines Might Hurt Its EarningsThe company still expects to report big profits, but dose administration costs are going up.
April 21, 2021
How to Bridge the ESG Divide Between Advisors, ClientsA recent report from Cerulli Associates provides some recommendations.
April 21, 2021
Merger of Schwab, TD Ameritrade Advisor Referral Networks BeginsSchwab is slashing the number of RIA firms in the referral program to 175 from 298, it says.
April 21, 2021
Financial Institutions Form Global Alliance to Fight Climate ChangeAmong its 160 members are BlackRock, Vanguard, Bank of America, Morgan Stanley, Invesco and Citi.
April 21, 2021
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's PeirceThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 21, 2021
Financial Firms Change How They Ask Employees About GenderSome firms, including TD Ameritrade and UBS, now offer options beyond male and female when they collect gender information.