As part of its review, Finra is seeking comments by June 29
The environmental, social and governance investments include a domestic and international offering.
Power, the Canadian parent of Putnam Investments and Great-West Financial, has now invested a total of $74 million in the robo-adviser
Financial Independence in Bloomfield Hills, Mich., manages retirement plans.
Firm agrees to settle three sets of SEC violations concerning overcharges.
Choice Group Wealth Management, located in Melville, N.Y., will operate as a hybrid.
David R. Humphrey also settled parallel civil charges with the SEC and will pay more than $108,000 in penalties.
The new firm, Executive Wealth Group, will custody assets with Raymond James.
Finra censures Royal Alliance, FSC, SagePoint, Woodbury, levies $550,000 in fines.
Financial Planning Re-entry Initiative will establish internships for returning professionals.
