SEC Modifies Submission Times for Form N-PORT
By Melanie Waddell"We are very pleased that the SEC has taken this important step," said ICI President Stevens.
February 28, 2019
FINRA to Issue FAQ on 529 Share Class Initiative, May Extend Compliance Dates"People have had a lot of questions about how to engage in the initiative," said FINRA enforcement chief Schroeder.
February 28, 2019
Here's What Stresses Advisors Out Most: SurveyAlthough advisors are generally happy with their jobs, they're 23% more stressed than the national average, FlexShares finds.
February 28, 2019
Wells Fargo Sees Rising Legal Risk as Talks Start With DOJ, SECBank increases estimate of risk citing a 'variety of matters;' it's in early talks to end probes of sales to retail customers.
February 28, 2019
Stifel Pulls In 5 Merrill Reps: Recruiting RoundupMeanwhile, Cetera brings in a wealth group that supports over $2.5 billion in assets and an institutions team with about $181 million.
February 28, 2019
Martha Stewart Takes Advisory Role at Pot Firm Canopy GrowthThe lifestyle hostess is taking on an advisory role to help develop a "broad new line" of products for both humans and animals.
February 27, 2019
Brighthouse Posts Variable Annuity Strength AnalysisThe company is showing why it believes it can return a large amount of capital to investors.
February 27, 2019
Envestnet Aims to Open Its Insurance Exchange in JuneSix issuers have agreed to put annuities on the exchange shelves.