4 Ways to Build a Happier Firm Culture
By Angie HerbersMany firm leaders believe compensation is the key of having a strong, positive culture. It's not.
September 23, 2020
10 Medicare COVID-19 Benefits Facts You Should KnowThe annual enrollment period is almost here, and the pandemic is still here. Maybe you can help people deal with that.
September 23, 2020
RIA Deals Broke Record in Q3 on Future Tax Worries: DeVoeWith a week left this quarter, the number of M&A deals has already broken the quarterly record, DeVoe & Co. says.
September 23, 2020
SEC Votes to Restrict Shareholder ProposalsThe agency voted to raise the thresholds required for shareholders to submit proxy proposals.
September 23, 2020
7 Stats on How People Really Save for RetirementThe Transamerica Center for Retirement Studies found some things advisors should know.
September 23, 2020
FINRA Working on Reg BI Guidance, Mulling Exam Changes: CookIn the future, in-person BD exams likely will be considered "more on a risk-based framework," says the regulator's CEO.
September 23, 2020
Whistleblower Lawyers Recoil at SEC's New Rules"The spin is just remarkable," Sean McKessy, former SEC whistleblower chief, said. "Overall, this is a net-negative for whistleblowers."
September 23, 2020
Interactive Brokers Raising Margin Requirements Before U.S. ElectionThe online brokerage says it expects "elevated" volatility in financial markets before and after the election.