Electronic Signatures May Get Help From the D.C. Gorillas
By Allison BellThe shift away from paper signatures is part of Social Security streamlining efforts.
December 21, 2021
In Volatile 2021, Most Investors Satisfied With Investment Decisions: StudyA third of survey respondents resolved to consult an advisor in 2022.
December 21, 2021
How Does Spending Really Change in Retirement?Several studies focused on new retirees suggest that retired households actually consume less over time.
December 21, 2021
Ex-OppenheimerFunds Analyst Pleads Guilty to Securities FraudThe New York funds analyst had been accused of misappropriating confidential info on pending trades by his employer.
December 21, 2021
FINRA Orders Advisor Group, LPL, MML, UBS, Wells Fargo to Pay $9.5M Over 529 PlansFINRA has been encouraging firms to self-report problems with 529 plan share class recommendations.
December 21, 2021
WisdomTree Won't Call It Quits in Bitcoin ETF FightThe SEC issued a final rejection of the ETF in early December.
December 20, 2021
Asset Managers Have New Rules to Play By: BNY MellonClients expect seamless, user-friendly interfaces and social media capabilities in their investment platforms and strategies, research found.
December 20, 2021
FINRA Upholds Bar of Ex-Broker Caught Cheating on Series 24 ExamThe ex-broker and compliance officer for a firm in Texas allegedly wrote test information on his driver's license, fingers and forearm.