SEC's Peirce Wants 'Finder' Capital Raising Rule
By Melanie WaddellAs it stands now, such finders must be registered as broker-dealers, despite the fact that it's not their main job, SEC Commissioner Hester Peirce says.
February 27, 2018
ERISA Attorneys Expect DOL, SEC Fiduciary Proposals This FallPhyllis Borzi weighs in with her fears and hopes about what they'll include.
February 26, 2018
Life Settlement Players Struggle With Tax Form VoidLISA conference speakers told investors that some insurers are already asking for more information when policy owners file death claims.
February 26, 2018
What Is Going on With Cetera?The network of independent broker-dealers is hiring Goldman Sachs to review its capital structure, which could lead to many possible outcomes.
February 26, 2018
LPL Wraps Up NPH Deal, Adds Second Wave of RepsLPL executives have said that some 2,000 NPH reps and $75 billion in client assets are moving to its platform.
February 26, 2018
State Regulator Galvin Is Putting Teeth in DOL Fiduciary Rule"We bring legal actions, and we usually win them," William Galvin, Massachusetts' top securities regulator, tells ThinkAdvisor.
February 26, 2018
Employers Bolster 401(k) Plans: Willis Towers Watson'Helping employees with their long-term financial security has emerged as a very high priority'
February 26, 2018
Use These 10 ESG Factors to Avoid Riskiest Investments in 2018Sustainalytics "10 for 2018" report focuses on "10 ESG risks that could have a significant impact on shareholder value" in 2018 and the industries that are most affected.