FINRA Clarifies What 'Extraordinary Cooperation' Really Means
By Melanie WaddellNew guidance tells firms how they can reduce penalties by going beyond the basic requirements when being investigated.
July 10, 2019
United Capital Teams With Nonprofit Girls Who InvestThe mentoring initiative could help expand the number of women in the asset management industry.
July 10, 2019
Dynasty Adds Ethic ESG Offerings to TAMPThe RIA is adding customized products to increase ESG options for portfolios.
July 10, 2019
Fed's Powell Signals Rate Cut as Trade War Outweighs Strong Job MarketPowell also said in his congressional testimony that he would not resign from the Fed if Trump tried to fire him.
July 10, 2019
Carson Wealth Adds $566M RIA in FloridaRuggie Wealth Management joins Carson via an exchange of a 25% interest of its business for an equity stake in the nationwide RIA.
July 10, 2019
Morningstar Explains Its Ratings System UpdateMany active funds may be downgraded due to a new system of taking fees into account with rankings.
July 10, 2019
Schwab Expands Commission-Free ETF Platform AgainWith the latest additions, Schwab has more than doubled the number of ETFs on its commission-free platform from a year ago.
July 10, 2019
Retirement Savers Seeking Protection Amid Market Volatility: AllianzNearly three in four affluent respondents to an Allianz Life survey said they'd be willing to give up some gains for protection.