Barclays Fined $325K for Failing to Supervise Outside Brokerage Accounts
By Melanie WaddellThe BD lacked procedures to collect and review employee-held outside account statements for prohibited trading, FINRA said.
December 03, 2025
IRS Issues Trump Account GuidanceOne takeaway: It appears Roth conversions will be allowed, says planning expert Ben Henry-Moreland.
December 03, 2025
Vanguard to Add TIAA Annuity Option in Employer PlansThe target-date investment will start allocating to a savings annuity once workers turn 55.
December 03, 2025
Model Portfolios Free Advisors to Cultivate HNW Clients: CerulliOutsourcing investment management, research finds, leaves more time to spend on client-facing activities, mainly meetings.
December 03, 2025
Fidelity Adds Roth Option to Self-Employed 401(k)sFidelity has offered traditional self-employed 401(k)s since 2003. Roth deferrals are now available.
December 03, 2025
SEC Halts High-Leveraged ETF Plans in Warning Over RisksIt aims to block new products that deliver three and even five times the daily returns of stocks, commodities and cryptocurrencies.
December 02, 2025
Pave’s Morningstar Integration Gives RIAs Access to Automation ToolsResource-poor independent advisors, the firm says, can build better portfolios to compete with Wall Street behemoths.
December 02, 2025
Robo-Advisor Wealthfront, Backers Seeking $485M in IPOThe company plans to market shares for $12 to $14 each, according to its SEC filing.