SEC Launches Asset Management Advisory Committee
By Melanie WaddellThe committee "will help the Commission ensure that our regulatory approach to asset management meets the needs of retail investors and market participants," said SEC chief Clayton.
October 09, 2019
Zero Commissions a 'Huge Deal' for Advisors, BDs: HenschenBroker-dealer recruiter Jon Henschen breaks down "the ripple effects" of the big brokerages' elimination of most trading commissions.
October 09, 2019
Ken Fisher's Off-Color Comments at Conference Spark DebateAdvisor Alex Chalekian calls out the industry icon for making "disgusting" references, but Fisher says the comments were "misconstrued."
October 08, 2019
Life Application Activity Continues to Recover: MIBGrowth was strongest in the 60-and-older market segment.
October 08, 2019
Wealth Management M&A Deals Still on Track to Top 200 in 2019: EchelonThe third quarter's deal total fell just shy of the prior quarter, Echelon Partners reports.
October 08, 2019
5 Thumps From the Gorillas' Annuity Suitability CommentsCommenters are shaping what could turn out to be a third, middle regulatory way.
October 08, 2019
Fidelity Cuts Fees on 529 Plans and Launches Some New OnesThe eight new blended portfolios include active and passive investments.
October 08, 2019
Financial Services Firms Struggle With Data ManagementIn a survey, most firms said they were considering a centralized data hub, though none had one currently.