SEC Examined 15% of RIAs Despite Pandemic: Driscoll
By Melanie WaddellThe Securities and Exchange Commission's exam division conducted more than 2,950 examinations in fiscal year 2020.
November 23, 2020
BlackRock Upgrades U.S. Stocks, Stresses 'Barbell' ApproachThe asset manager cautions that the market faces "challenging months ahead" with the resurgence of COVID-19 cases.
November 23, 2020
College for Financial Planning Launches Behavioral Finance ProgramAdvisors who complete the eight-week program can receive an accredited designation.
November 23, 2020
SEC Needs to Take 'Bottom to Top' Review of Fixed Income Markets: CrenshawThe next chairman or chairwoman will likely "take a hard look at the commission's approach to ESG," Crenshaw said.
November 23, 2020
Pershing's Lockwood Rolls Out New UMA ProgramThe minimum account size for the UMA is $50,000, and its annual program fee starts at 30 basis points.
November 23, 2020
HealthCare.gov Continues to Report Strong RenewalsThe number of new applicants appears to be lower than it was a year ago.
November 23, 2020
AmeriLife Acquires a Benefits Firm: DealsInsurance Specialist Group, Boost Health, iPipeline and Welis have deal news.
November 23, 2020
TIAA's Ferguson Faults Wealth GapFerguson, the first Black person to serve as a Fed vice chairman, has announced plans to retire from TIAA in March.