SEC Hits 5 RIAs With Marketing Rule Fines
By Melanie WaddellThe firms have agreed to pay $200,000 in combined penalties over their use of hypothetical performance in ads.
April 11, 2024
Morgan Stanley Wealth Unit Being Probed by Regulators: ReportSeveral agencies want to know if the bank has done enough to prevent money laundering by its wealthy clients.
April 11, 2024
Fiduciary Rule Meetings Disappointed Agent GroupsAnalysts appear to be rubber-stamping the draft, the National Association of Insurance and Financial Advisors said.
April 11, 2024
Release of Final DOL Fiduciary Rule Expected SoonThe next step is for Labor to announce the final rule, which could be very soon.
April 11, 2024
Annuities Soar as Source of Life Insurer RevenueAt the same time, the share of the U.S. life companies' premiums tied to individual life insurance is shrinking.
April 11, 2024
Fidelity Rolls Out 3 New ETFsThe funds aim to outperform the S&P 500 while offering downside protection or enhanced yield.
April 10, 2024
Most Americans Now Fear Poverty in Retirement More Than DeathHigh inflation and Social Security concerns have people of all ages worried about life in retirement, a new poll finds.
April 10, 2024
Is It Time to Take Tech Profits and Invest Elsewhere?Technology shares could come under pressure, says Goldman Sachs, which prefers energy and Japanese shares.