SEC Allows Fund Boards to Rely on CCO Reports
By Melanie WaddellCipperman Compliance Services wonders if the move increases CCO liability.
October 15, 2018
SEC Does Not 'Dictate' Cyber Controls, Cyber Chief SaysThe SEC is more focused on preparedness, cyber chief Robert Cohen said at a NASAA Cybersecurity Roundtable.
October 15, 2018
BofA Tops Estimates as Wealth Group Boosts Profits 31%: Q3 EarningsThe number of Merrill advisors is 14,838, up 18 from the prior quarter but down 116 from the prior year.
October 15, 2018
What Happens to SEC Broker Rule, Retirement Policy if House Flips?A critic of the SEC's proposed Regulation Best Interest, Rep. Waters, would likely head committee with SEC oversight.
October 15, 2018
Social Security COLA for 2019 May Not Help Many Americans: AARPAARP also launched a resource center that includes guidance on when to claim Social Security benefits.
October 15, 2018
Orion Users Now Can Use FinMason's 5-Minute Financial PlanFinMason CEO Kendrick Wakeman says integration places advisors "80% of the way" to what full-blown financial planning software provides.
October 15, 2018
Fidelity Rolls Out Crypto Trading and Custody FirmFidelity Digital Assets is aimed at institutional investors looking for a big-name platform provider.
October 15, 2018
Prudential May Be Close to Shedding 'Too-Big-to-Fail' LabelA vote on the company's SIFI status could come Tuesday.