Securities America Launches Scholarship Program for College Students
By Emily ZulzThe firm will pay for 30 college juniors and seniors to attend its national conference in New Orleans.
April 06, 2018
Debt Hampers Workers' Retirement Savings: LIMRALIMRA study shows indebted millennials are least likely to save outside the workplace.
April 06, 2018
UBS Launches Robo-Advice PlatformMass-affluent investors with at least $10,000 can sign up for the platform.
April 06, 2018
Scottrade Files to Send Galvin's Fiduciary Charges to Federal CourtScottrade argues that Massachusetts is trying to enforce the fiduciary rule even though Labor has suspended enforcement.
April 06, 2018
'Hamilton' Ticket Ponzi Schemer Sentenced to 6 Years in Prison: EnforcementIn another enforcement action, an ex-Philadelphia Eagle was ordered to pay $8 million for defrauding investors including his former coaches.
April 05, 2018
If DOL Drops Fiduciary Rule, Will Clean Shares Fade?Industry concerns and the 5th Circuit decision on the fiduciary rule may slow clean share emergence.
April 05, 2018
Smart-Beta ETFs Cross 10-Year ThresholdOppenheimerFunds marks a milestone for three of its revenue-weighed ETFs, early entrants in the smart-beta universe.
April 05, 2018
FINRA Updates AML Template for Small Broker-DealersThe update reflects small BDs' obligations under FINRA Rule 3310 in light of FinCEN's final rule on Customer Due Diligence Requirements for Financial Institutions.