The push to interest retirement savers in crypto was part of an effort by FTX Group to expand its base of everyday retail customers.
Target-date funds that are sustainable or responsible are fair game now for retirement plans, but there aren't many of them.
The SEC also has custody and ETF regulations to tackle, while the Department of Labor continues work on the next iteration of an investment advice rule for retirement accounts.
The share price of LPL Financial Holdings Inc. increased 27% over the past year, even as the S&P 500 index fell 19.4%.
Lee plans to focus on advancing the FPA's mission of title protection for financial planners.
The retirement savings legislation signed into effect by President Biden last week as part of a government funding bill includes 92 provisions designed to boost the number of Americans saving for retirement, as well as the size of their nest eggs.
The measure codifies Finra's practice for vetting arbitrators for conflicts of interest, and it requires a written explanation when a challenge to an arbitrator's seating is granted or denied.
Instead of a single seat on the company's board, activist investor Impactive Capital is now seeking more significant change.
The nine-member group, which will do business as Fountain Financial Group, had been affiliated with First Horizon Advisors.
Public-employee plans are underfunded, chasing higher returns and underperforming international peers overseen by professionals.
Here are three areas that wealth management firms should be monitoring to avoid taking the kind of reputational hit the airline just suffered.
The ever-growing number of items that compliance officers and teams must monitor has made tracking regulatory compliance disclosures more complicated than ever.
The purchase of Virginia-based Ascent Group keeps Alera on track to meet its goal of reaching $10 billion in AUM this year.
State legislation requires state entities to divest from firms on the list, with certain exceptions.
Critics say the measure's due diligence and monitoring requirements for third-party providers of portfolio management and other services are unnecessary given advisors' fiduciary duty.
The regulator's penalties averaged $247,000 per firm, according to an InvestmentNews tally.
His 10 calls for this year suggest a smoother ride for the markets that could depend on more action from Washington.
Last year's inflation, the highest in decades, means married couples can now hand their heirs almost $26 million tax-free, $1.7 million more than in 2022.
Dallas-based Matt Irwin has 24 years of experience, all with Amerprise and a predecessor firm.
It isn't just a matter of identifying clients who are interested, but of removing whatever obstacle is keeping them from investing.
