SEC to Require More Admissions of Wrongdoing
By Melanie WaddellFirms who admit wrongdoing send a signal to others to stamp out misconduct, the SEC says of reviving the Obama-era policy.
October 14, 2021
F&G Acquires Big Stake in Indexed Universal Life Distributor: DealsIntegrity Marketing has closed on three deals. Guardian, TailorMed and Global Atlantic also have news.
October 14, 2021
Merrill Reports Positive Feedback on New MAX AppThe new mobile advisor experience was launched late last month after a pilot with a few hundred advisors.
October 14, 2021
New Pershing X Business Unit Launches: Tech RoundupAinslie Simmonds will lead the unit. Also, Carson onboards FeeX fintech retirement services for its financial advisors.
October 14, 2021
Cathie Wood's Ark Lends Name to Bitcoin Futures ETFAccording to an SEC filing Wednesday, Ark Invest will give marketing support to the sub-advisor of the Ark 21Shares Bitcoin Futures Strategy.
October 14, 2021
Ron Carson: Stop Using the Word 'Fee'"No one likes fees, but we're all willing to make an investment in our future," the Carson Group CEO said in a wide-ranging panel discussion.
October 13, 2021
DOL Opens Door for More ESG Investments in 401(k)sThe agency proposed a new rule that would undo the restrictions imposed under the Trump administration.
October 13, 2021
Don't Expect Big Social Security COLAs to Become a TrendStephen Goss of the Social Security administration gave perspective to Wednesday's 2022 COLA announcement.