FINRA Updates Business Continuity, Disaster Recovery Guidance
By Melanie WaddellFirms reporting a "significant volume" of transactions in Treasury securities must now participate in FINRA's annual business continuity and disaster recovery test.
March 09, 2018
Can Trump's Association Health Plans Be Nice AND Strong?The DOL's benefits team has at least 718 public comments to review.
March 08, 2018
Amazon Isn't the Only Retail Giant Trying to Remake Health CareSome giant employers are already trying to buy care directly from the providers.
March 08, 2018
Women Make Up Smaller Share of Fund Managers Today Than in 1990: MorningstarOnly about 11% of portfolio managers are women even though female-run funds do not underperform, Morningstar found.
March 08, 2018
Trump Signs Tariff Order on Metals With Wiggle Room for AlliesThe measure exempts Canada and Mexico and leaves the door open to sparing other countries.
March 08, 2018
NASAA Cautions Investors Against Unicorn CompaniesAn advisory from NASAA notes that investing in unicorns is speculative and generally unavailable to retail investors.
March 08, 2018
Top Interests, Hobbies of the Ultra-WealthyIf you're looking to rub shoulders with well-heeled potential clients, take a look at Wealth-X's ranking of their top passions and interests.
March 08, 2018
Galvin Targets Wells Fargo Wealth UnitThe regulator wants to examine the extent of referrals and recommendations tied to 401(k) rollovers.