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SEC advice rule: Time for brokers, advisers to weigh in
Much work remains on the proposal, so feedback is crucial.
Things are looking up: IBDs soared in 2017
With revenue up, interest rates rising and regulation easing, IBDs are soaring.
Top independent broker-dealers ranked by revenue
Data include a breakdown of fee, commission revenue.
The $1 million gender wealth gap
Compounding female wage inequity jeopardizes retirement security
The rich are betting they can buy their way to a longer life
The successor to income inequality is longevity inequality
Retail brokers benefitted from the first quarter’s volatility
Charles Schwab posted its highest quarterly revenue ever and ETrade saw its highest quarterly sales since 2009.
SEC advice rule may give RIAs leg up over broker-dealers
Experts say advisers will be able to point to their role as fiduciaries as a differentiator in the advice market.
Arbitrators award Morgan Stanley $6 million from former broker
Finra panel says barred rep Barry Connell must pay compensatory damages.
The rich are betting they can buy their way to a longer life
The successor to income inequality is longevity inequality.
Ed Butowsky charges Schwab with political bias in $100 million lawsuit
Adviser claims he was kicked off custodian's platform because of his political views.
SEC advice rule: Here’s what you need to know
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
Principal sued for stacking its TDFs with proprietary funds
The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.
Cadaret Grant acquired by private-equity-backed Atria
75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'
First quarter was a seller’s market for RIAs
Broker protocol factored into increased breakaway broker movement.
What a court decision teaches 401(k) advisers about choosing stable-value funds
Selecting a very conservative benchmark is generally permissible under retirement law.
Brokers accept proposed SEC rule on who can call themselves an adviser
Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.
SEC advice rule raises bar for brokers by putting ‘best interest’ on table
Required policies, procedures give the regulator a way to gauge brokers' follow through on mitigating conflicts.
Morgan Stanley’s wealth management unit sees record profits
Firm does more with fewer advisers during the first quarter.
SEC advice rule seeks to tighten reins on brokers
The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.
SEC advice rule: Industry groups brace for debate
Trade groups are champing at the bit to have their say in response to the SEC hearing.
