FINRA Retiring OATS to Make Way for CAT
By Melanie WaddellIt will be "interesting" to see how the change affects FINRA's enforcement program, ex-enforcement chief Susan Schroeder says.
June 21, 2021
LPL Nabs $1.3B Team From Wells FargoThe new independent practice Boggs & Co. launches in Cumberland, Maryland.
June 21, 2021
New Firm Launches Advisor-Focused Solution for Private MarketsEPIC is focusing on advisors now, but the "goal is to open up this asset class to a much larger universe of investors," its managing principal says.
June 21, 2021
Fixed Annuity Sales Flat in Q1; Variable Sales JumpFixed annuity sales were $27.5 billion, while variable annuity sales rose 8% to $29.2 billion, the Insured Retirement Institute said.
June 21, 2021
Gundlach's DoubleLine Plans Closed-End Version of Shiller Enhanced CAPE Fund: Portfolio ProductsAlso, Barclays bank launched its second gold-related ETN, and ETFG and Direxion added new leveraged ETFs.
June 21, 2021
Insurers Try to Avoid Collision With State LTCI ProgramIssuers say they want business that will stick.
June 21, 2021
Integrity Marketing Acquires Two Distributors: DealsAn American Enterprise Group arm invested in an insurance recommendation system.
June 18, 2021
SEC Adjusts 'Qualified Client' Threshold for Advisor Performance FeesAdvisors can charge performance fees only to clients who exceed this threshold in AUM or net worth.