SEC Names Harvard Professor as General Counsel
By Hugo GuzmanMeanwhile, Renee Jones of Boston College becomes the first Black woman to lead one of the SEC's four major divisions.
June 14, 2021
Merrill Exec Expects New, Shorter Advisor Program to Quadruple Success RateThe firm's new 18-month Advisor Development Program should increase its advisor success rate to 80%, Andy Sieg says.
June 14, 2021
SEC Plans More Changes to Accredited Investor DefinitionRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.
June 14, 2021
Schwab Assets Up 84% After Stock Surge, TD Ameritrade DealTotal client assets were about $7.4 trillion as of May 31, up from roughly $3.8 trillion a year earlier.
June 14, 2021
Millions of Americans Plan to Retire Later Due to Pandemic: Age Wave StudyThe study also found that the pandemic has forced Americans to reset their priorities.
June 14, 2021
Jury Awards $114M in United of Omaha Rescission CaseThe insurer says the insured left information about chronic lung disease off of her application.
June 14, 2021
Dentist Turned Advisor Fined Over Fraudulent OfferingsThe advisor has agreed to pay $600,000 to settle allegations he engaged in three separate securities frauds, the SEC says.
June 14, 2021
LPL Adds $36B Credit Union-Focused ClientCUNA Mutual Group's brokerage unit includes some 550 advisors advising 300 credit unions.