Is the Sweep of Advisors' Texting Legal? — SEC Roundup
By Nick Morgan and Tom ZaccaroThe SEC is treating advisors like they're subject to BD requirements, says Jennifer Han of the Managed Funds Association.
February 23, 2023
How Janus Henderson's New Boss Plans to Stem OutflowsJanus CEO Ali Dibadj seeks a turnaround after clients pulled about $130 billion since 2017.
February 23, 2023
Biden's Billionaire Tax Plan Is Doomed, Estate Lawyer SaysThe plan essentially puts a double tax on appreciated assets at death, Scott Squillace tells ThinkAdvisor.
February 23, 2023
Kestra Launches 2 New Model Portfolio SeriesThe models include an addition to the firm's core lineup and a satellite series.
February 23, 2023
8 U.S. Universities With the Most Ultra-Wealthy GradsMore than a third of U.S. residents with $100 million or more went to one of these schools.
February 23, 2023
FINRA Warns of Ongoing Fake-Email ScamBad actors are sending phishing emails from addresses similar to FINRA's, the regulator says.
February 23, 2023
Fidelity Launches Active Muni Bond FundThe new fund includes investment-grade and non-investment-grade municipal bond exposure.
February 23, 2023
Lincoln Financial Caps Executive Severance BenefitsThe limit will be 2.99 times the base salary plus bonus opportunity.