SEC Approves More Nontransparent ETF Strategies
By Bernice NapachThe agency gave preliminary approval to strategies from Fidelity, T. Rowe Price, Natixis and Blue Tractor.
November 15, 2019
FINRA Suspends Broker Who Sold Woodbridge NotesAn advisor has a nine-month suspension, must pay a $5,000 fine and return some $33,000 in commissions and interest over unapproved sales tied to a $1.2 billion Ponzi scheme.
November 15, 2019
Hearsay Systems Launches New Compliance Consulting ArmHearsay Compliance Advisory Services aims to help financial services firms comply with rules like Reg BI and FINRA's new advertising rule.
November 15, 2019
Ameriprise Adds 2 Advisors From LPLThe pickup of First American Financial adds about $158 million in AUM.
November 15, 2019
New Annuity Starts Lifetime Income Stream at Age 91 or LaterMassMutual's Haven Life unit developed the product.
November 14, 2019
World Regulator Group May Let U.S. Have Its Own Capital StandardsThe IAIS has adopted an approach U.S. life insurers hate, but it's still considering an alternative method they like.
November 14, 2019
Kestra's RIA Unit Nabs $1.1B GroupBluespring Wealth Partners is acquiring Vector Wealth Management of Minneapolis.
November 14, 2019
Welcome to 'Unretirement': Most Older Americans Say They'll Keep WorkingAnd more than half of "unretirees" intend to work their entire lives, a poll for TD Ameritrade found.