InvestmentNews

InvestmentNews
Displaying 4006 results
RIA firms optimistic about hiring and asset growth
NEWS RIAS AUG 01, 2018
RIA firms optimistic about hiring and asset growth

Study: Biggest concerns are cybersecurity, a possible market downturn and regulation

Despite 20% asset growth, RIA margins declined in 2017
NEWS RIAS AUG 01, 2018
Despite 20% asset growth, RIA margins declined in 2017

TD Ameritrade says median operating margin dropped to 20% from 24% in 2016, survey finds.

Vitesse Media to buy InvestmentNews in $27.1M deal
NEWS INDUSTRY NEWS JUL 31, 2018
Vitesse Media to buy InvestmentNews in $27.1M deal

London-based buyer to gain toehold in U.S. media market in transaction expected to close mid-August. InvestmentNews leadership team remains intact.

Four Wells Fargo reps managing $550 million go indie with Raymond James
NEWS BROKER DEALERS JUL 31, 2018
Four Wells Fargo reps managing $550 million go indie with Raymond James

Each will operate his own businesses from one location in Roswell, Ga.

Fidelity seeks injunction against rep who oversaw $2.7 billion
NEWS REGULATION AND LEGISLATION JUL 31, 2018
Fidelity seeks injunction against rep who oversaw $2.7 billion

Laurence Rollins accused of taking trade secrets to new employer.

Eight-person team managing $930 million leaves Merrill Lynch
NEWS INDUSTRY NEWS JUL 30, 2018
Eight-person team managing $930 million leaves Merrill Lynch

Millennial-dominated group creates hybrid firm and links with Dynasty

Finra asking firms for comments on fintech innovation
YOUR PRACTICE FINTECH JUL 30, 2018
Finra asking firms for comments on fintech innovation

Regulator wants to know what it can do to provide support.

IRS provides guidance on 529 plans
NEWS REGULATION AND LEGISLATION JUL 30, 2018
IRS provides guidance on 529 plans

IRS OKs up to $10,000 in K-12 spending and rollovers to ABLE accounts; makes recontributing tuition refunds to 529s tax-free.

Cybersecurity remains top RIA compliance concern
NEWS RIAS JUL 25, 2018
Cybersecurity remains top RIA compliance concern

Nearly two-thirds of firms have increased testing in the area.

Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales
RETIREMENT LIFE INSURANCE AND ANNUITIES JUL 25, 2018
Finra whacks Advisor Group, NPH with $2.7 million in fines over variable annuity sales

Eight broker-dealers censured for supervisory laxity in monitoring VA exchanges.