SEC Highlights Top Advisor No-Nos Related to Cash Solicitation Rule
By Melanie WaddellThe agency's exam division cites four of the most common compliance deficiencies related to the rule.
October 31, 2018
Ex-Fed Chief Yellen Expects Only 3 More Rate HikesThe former Fed chair explained her outlook and concerns for the economy at Schwab Impact.
October 31, 2018
How Independent Advisors Invest Client Assets: Schwab StudyThey favor low-cost core holdings in ETFs and mutual funds, according to a new Schwab study.
October 31, 2018
UBS on Hunt for Asset Management DealsAs the firm aims to boost scale, its likely targets may include U.S. and U.K. asset managers focused on retail clients and specialized asset managers in areas such as real estate, sources say.
October 31, 2018
Global Billionaire Wealth Has 'Greatest-Ever Increase,' With China at ForefrontWhile the U.S. growth rate slowed slightly, Chinese billionaires led the way, expanding their wealth by 39%.
October 31, 2018
SEC Proposes Long-Awaited Variable Annuity Summary ProspectusThe plan would allow these contracts to use a summary prospectus to provide disclosures to investors.
October 31, 2018
Aetna Posts Higher EarningsAetna's CFO says the company is ready to start implementing CVS-Aetna integration plans.
October 31, 2018
LIMRA Aims to Surf the Tech WaveRobert Kerzner has passed the CEO post on to David Levenson.