Merrill Ends Advisor Payouts on Small Accounts
By Jeff BermanBut the firm's decision to leave its comp grid alone stands as welcome news for advisors, consultant Andy Tasnady says.
December 04, 2020
Should You Send Holiday Cards in 2020?Is sending holiday cards worth the effort this year? Celebrities, CEOs and the British royal family seem to think so.
December 04, 2020
Heed New Guidance on Form CRSRequesting brevity, the SEC explains how firms must answer questions in its Joint Statement.
December 04, 2020
Draft Suitability Guide Could Shape How States Regulate Annuity SalesArizona, Iowa and Rhode Island have already adopted the NAIC's model update. Commenters, including Michael Kitces, speak up.
December 04, 2020
Wisconsin Securities Regulator Joins SEC Investor Advisory CommitteeThe committee added Leslie Van Buskirk and seven other members.
December 04, 2020
Goldman Sells Folio's Retail Unit, Keeps RIA BusinessInteractive Brokers is buying Folio's DIY investor unit, which has some 70,000 clients and about $3 billion in assets.
December 04, 2020
CMS May Let Private Groups Run Part of Traditional MedicareCMS plans to start a test of the "Geographic Direct Contracting Model" in at least four markets in 2022.