SEC Expected to Be 'Heavy-Handed' With Marketing Rule Enforcement
By Melanie WaddellSimply continuing to avoid testimonials carries its own risks, Bill Simpson of Hearsay Systems tells ThinkAdvisor.
November 02, 2022
Global Atlantic Annuity Holders Are Keeping Their Contracts: KKRProduct design seems to be holding surrenders down, the private equity firm's chief financial officer says.
November 01, 2022
Prudential Posts Strong Q3 Fixed Annuity Sales Gains, Along With a Net LossIn the United States, sales strength varied by channel.
November 01, 2022
Here Are the Finalists for Excell Women in Wealth Management AwardsThe awards are presented by Carson Group, Fidelity Institutional, Mariner Wealth Advisors and Financial Independence Group.
November 01, 2022
Institutional Investors Not Backing Down on Digital Assets: SurveyThe fundamentals of digital assets remain strong despite recent market turmoil, Fidelity's Tom Jessop says.
November 01, 2022
Financial Firms Spent $1B on Ransomware Payments in 2021The Treasury Department says some 1,489 incidents were reported last year vs. 487 in 2020.
November 01, 2022
Morningstar Launches Direct Indexing Investment OfferingThe offering, part of a growing industry trend, allows portfolios to be tailored to each investor's needs.
November 01, 2022
Graying Brokerage Industry Prompts Need for Succession Plans: FINRAA new regulatory notice encourages registered reps to have a succession plan in place.