What gets Finra’s head of enforcement out of bed in the morning?
The regulator's Bill St. Louis has been sharing his priorities.
HSA enrollees use health care services differently than those with PPOs, research shows
EBRI research also looks at spending for the two types of plan.
Sotheby’s claims a first with $700M securitization backed by art-secured loans
Art financing unit announces groundbreaking milestone.
Correction for Nvidia, chip stocks index
The darlings of the market in recent years are facing challenges.
Chili Peppers, Neil Young fund sells $2B catalog for a song
Concord to buy struggling Hipgnosis fund for around $1.4B.
What Americans don’t know about finance is costing them dearly
Poll of 2,000 US adults finds financial knowledge gaps lead to thousands of dollars in losses, especially for Gen Z and millennials.
Senators push back against SEC climate rule
More than 30 senators are supporting a measure that would overturn the regulator’s climate disclosure rule.
ESG investment battles recede as geopolitics take center stage
The number of client phone calls regarding environmental, social and governance investing has steadily diminished, some advisors say.
SEC dings Minnesota investment manager over pay-to-play conflict
"Is four grand really going to influence a politician’s thinking?" one attorney asked.
Spontaneous DAF contributions ignite more giving
Vanguard Charitable research spanning tens of thousands of donor-advised fund accounts reveals the catalytic impact of gifts.
Trump Media: A great stock to avoid altogether, advisors say
Stock is a 'great way to destroy wealth' but that may not stop some of the former president's supporters.
Could retirement fluency cure Americans’ financial uncertainty?
Research report from TIAA Institute reveals troubling knowledge gaps around Social Security, Medicare, and retirement savings options.
Apella seals deal for $464M advisory team
The fast-growing RIA’s addition of the Virginia practice marks its 17th acquisition.
Summit sharpens HNW focus with souped-up alts platform
RIA unveils partnerships with leading tech and alts providers to arm advisors with a range of alternative investment options.
Ex-Raymond James advisor makes comeback at LPL
The three-decade veteran in Texas is returning to the broker-dealer giant’s network as he looks to solidify his succession planning.
Suit challenges SEC market surveillance tool as unconstitutional
The Texas lawsuit accuses the SEC of acting without authority to create the Consolidated Audit Trail, a database that would collect virtually all US trading data.
Ascensus buying Vanguard small-business retirement offerings
The company is acquiring the Individual 401(k), Multi-SEP, and SIMPLE IRA plan businesses from Vanguard.
Envestnet shares up 9% as reports suggest it’s in talks to sell to PE
Wealth management technology company has reportedly hired Morgan Stanley as advisor.
Rents still rising but investors are seeing slower annual increases: CoreLogic
Latest CoreLogic Single-Family Rent Index reveals where rents are increasing the most.