Cantor to Sell ETF, Retail Stock-Trading Division
By Nick BakerThe acquirer believes the deal should bring institutional-quality customer service and top technology to Main Street broker-dealers, asset managers and retail investors.
November 02, 2018
Retail Channels Gobbling Up Bigger Share of AssetsCerulli credits IRA rollovers for an ongoing migration of assets from institutional to retail channels.
November 02, 2018
New Carrots, Sticks in Merrill's 2019 Comp PlanMerrill will institute a noncompensable policy, which executives say is "in line with many of our peers."
November 02, 2018
Want a Divorce? Better Do It NowTax overhaul kills alimony deduction for divorces after 2018; reaching a deal soon could mean tens of thousands in savings.
November 02, 2018
SEC Brought More Advisor, BD Enforcement Actions in 2018The Securities and Exchange Commission brought 821 enforcement actions in fiscal 2018.
November 02, 2018
SEC Stops Broker's Ongoing Theft From Retirees: EnforcementThe broker used investors' money to pay for Super Bowl tickets and luxury vacations, the SEC said.
November 02, 2018
SEC Updates List of Fake Firms, RegulatorsThe so-called PAUSE list has been updated with eight bogus regulators, four "spoofers" of real firms and 16 soliciting entities.
November 02, 2018
Small Business Owners Notice Human ResourcesPrincipal's specialty benefits chief sees employers thinking harder about talent.