These Regulators and Firms Are Bogus, SEC Warns
By Melanie WaddellAgency alert details long lists of fake regulators, unregistered firms claiming to be registered, and firms impersonating legitimate ones.
August 06, 2018
Select Military Spouses to Receive Designation to Conduct Financial Counseling: FINRAThe FINRA Foundation Military Spouse Fellowship program participants will undergo rigorous training and gain hands-on experience — at no cost.
August 06, 2018
Student Loan Refinancer SoFi Said to Report $200 Million Q2 LossThe privately held company has disclosed quarterly revenue or earnings to its investors since Q3 2017.
August 06, 2018
Understanding ESG Ratings: A Brief Primer From Celent"There is no common standard for ESG reporting due to self-reporting by companies and data content providers each having their own ranking system in place," notes Celent.
August 06, 2018
Now You Can Add Long-Term Care to Death and TaxesThree-quarters of Americans will need long-term care, but few are prepared for it, according to a new study.
August 06, 2018
Baird Taps New Wealth ExecIn her new role, Laura Thurow will lead staff, platforms and back-office support for the firm's 850 financial advisors.
August 06, 2018
'O' No! Ken Fisher Tells SEC to Ban Use of 'Advisor'Brokers have created investor confusion by using "advisor" to skirt the ban on using "adviser," Fisher says.
August 06, 2018
States Continue ACA 'Civil War' in the Courts: NAIC Meeting SpeakerAnthony Shelley predicted one open battle, over the individual mandate, will go to the Supreme Court.