NASAA Seeks More CE Course Feedback, Adopts Whistleblower Act
By Melanie WaddellNASAA hopes to present the proposed model CE rule to state securities regulators for a vote later this fall.
September 02, 2020
Wells Fargo to Pay $2M Over Variable Annuity SwitchesThe firm failed to supervise reps' recommendations that customers switch from VAs to investment company products, FINRA claims.
September 02, 2020
Large-Cap Funds Managed by Women Are Outperforming in 2020: GoldmanOnly 3% of large-cap funds are managed entirely by women, while 77% have all-male management teams.
September 01, 2020
Two-Thirds of RIAs Open to Recommending Annuities: SurveyAdvisors should start the retirement income planning conversation earlier, fee-based annuity platform RetireOne suggested.
September 01, 2020
Mnuchin Says Stimulus Hopes Aren't Dead; House Inquiry Flags PPP Loan AbusesThe administration continues to work toward a bipartisan "Phase 4" relief package, the Treasury secretary says.
September 01, 2020
Who Made It Into Merrill's Expanded Model Portfolio Lineup?Eight new fund giants come on board, a day after Bank of America says Merrill clients can trade via its mobile app.
September 01, 2020
Jean Hynes Named Next Wellington CEOThe head of the Vanguard Health Care Fund will continue leading the portfolio after taking the executive reins from Brendan Swords next summer.
September 01, 2020
Creative Planning Strikes Its Biggest RIA Deal EverIn its eighth acquisition of the year, the Overland Park, Kansas-based firm more than doubles its asset footprint in Atlanta.