New Jersey, Nevada Likely to Pass Fiduciary Rules: Attorney
By Melanie WaddellUnlike the rule that was defeated in Maryland, the New Jersey proposal "doesn't need votes, per se," a lawyer says.
April 17, 2019
FINRA E-Signatures Rule Gets SEC NodFINRA will permit the use of electronic signatures for discretionary accounts, effective May 6.
April 17, 2019
Fears of 'Medicare for All' Hit Health StocksInsurers suffered along with the publicly traded hospital companies.
April 17, 2019
SEC Fires Off Warning on Privacy RegulationOCIE sets out violations of Reg S-P that have shown up in recent exams.
April 17, 2019
2019 (and 2020) Life, Health and Annuity PlannerIt's time to think about you'll be doing in 2020...
April 16, 2019
5 New Things Finance Professors Are Saying About Your ProspectsA team of researchers look at why many people avoid you, or seek you out.
April 16, 2019
BofA Wealth Unit Boosts Profits 14%; No Plans to Sell Retirement-Plan OpsSome 11% of new client relationships for Merrill advisors came from referrals in other parts of the bank in 2018, and that level could rise this year.
April 16, 2019
Will Trump Memo Slow Down SEC's Reg BI?A memo from the OMB states that major rules, like the SEC's best-interest rules, must be reviewed by Congress.