SEC Issues Plan to Modernize RIA Ad Rules
By Melanie WaddellThe plan would allow for testimonials, endorsements and third-party ratings in some marketing materials.
November 04, 2019
Mutual Life Insurers Begin Setting 2020 Dividend RatesNorthwestern Mutual and MassMutual have released their numbers.
November 04, 2019
CVS Health Aims to Raise $10 Million for Alzheimer's AssociationAetna's parent will run checkout fundraisers, and it will become the national presenting sponsor of the Walk to End Alzheimer's events.
November 04, 2019
SEC's Newest Whistleblower Charges Spotlight Investors as Potential TipstersJane Norberg, the chief of the SEC's whistleblower office, said, "Anyone who seeks to report potential securities law violations to the commission," is protected.
November 04, 2019
$500M Merrill Team Moves to StifelThe three advisors were with the Thundering Herd for the past decade; earlier, they worked for UBS.
November 04, 2019
Institutional Investors Boosting Liquid Alt ETFsA Greenwich Associates study predicts allocation to liquid alt ETFs to more than double in a year.
November 04, 2019
Morningstar to Acquire AdviserLogic; Broadridge Completes Fi360 DealAdviserLogic's 80 employees in Australia and India will join Morningstar.
November 04, 2019
Fisher's Sales Tactics Prompt Customer ComplaintsThe firm's aggressive marketing efforts go "way beyond harassment," one prospect told the FTC.