FINRA Reminds BDs of Municipal Client Duties
By Melanie WaddellFINRA exams have found BDs engaged in investment-related activities with municipal clients without registering as muni advisors.
August 19, 2019
Wells Fargo to Drop Crow Point Partners From 3 Funds: Portfolio ProductsAlso, Beyond Investing touts what it claims is "world's first vegan-friendly and climate-conscious" ETF.
August 19, 2019
How to Fight the Next RecessionCutting interest rates isn't going to cut it, according to BlackRock and BNY Mellon's Insight Investment.
August 19, 2019
Colorado Takes Action Against Aliera and an AffiliateInsurance regulators in several other states have also questioned the company's status.
August 18, 2019
Hub Acquires Agent's Book of Disability Insurance BusinessThe seller, Brian Allain, has gone to work for Hub.
August 16, 2019
ETF Investors Ran to Equities Amid Volatility: SchwabFixed income flows, on the other hand, slowed as volatility picked up, a Schwab VP said.
August 16, 2019
Investors Want ESG, but Advisors Are the Missing Link: StudyWhile 75% of advisor clients view ESG investing positively, only 30% have discussed it with an advisor, Allianz Life finds.
August 16, 2019
Foundation Returns in 2018 Were Lowest in a Decade: ReportThey lost 3.5% on average, the study found.