The Senate and House bills will both die at the end of the year if they are not approved. It’s not clear whether sponsors will reintroduce them in January.
A roundup of the week's top tech news, including MaxMyInterest integrating with Wealthbox, CapIntel's growth and Smarsh hiring new executives.
An investor alleges the firm made unauthorized trades. The Finra arbitration decision comes as the regulator is conducting an exam sweep on options.
The asset manager wasn’t aware of the decision until reading about it in a statement from Florida Chief Financial Officer Jimmy Patronis.
The groups that Hassan will take responsibility for were previously part of the global wealth-management operation.
There are many ways financial advisers can protect elderly clients from financial abuse. The first trick is to spot it.
It can be hard to keep direct-index portfolios from 'drifting' from their benchmark index as stocks are swapped in and out.
Dana Vietor of Independence, Iowa, had solicited investments to buy a building in Dallas to house cancer treatment and other equipment.
The accounts are to be used in retirement plans, and Stadion Money Management will serve as the program's fiduciary.
Chairman Colm Kelleher said the bank has been slow to identify cross-selling opportunities to wealth management clients.
Even if you have no plans to sell, taking these steps will mean you're running a better business.
Next Gen advisers want to know that their investment in their careers is also an investment in others, and in the world.
Most beneficiaries who stay in their current plans will pay more in 2023, and Medicare open enrollment, which lets beneficiaries change plans, ends next week.
The Find My Advisor app enters an increasingly crowded field of services hoping to connect clients and advisers.
The SEC chairman wants to reduce the costs of the men and women in the middle of the market. That means you, InvestmentNews readers.
The private equity-backed firm operates six broker-dealers, including Cadaret Grant, NEXT Financial and Western International Securities.
The Bitcoin Strategy Optimum Yield ETF would offer managed exposure to bitcoin futures contracts traded on the CME and investments in short-term debt securities.
Now that the agency has finalized the ESG rule, it's likely to cast a wider net to establish who has a fiduciary duty to retirement savers. A new deadline is pending.
After nearly a decade of fighting for regulatory approval of semitransparent ETFs, the asset management industry is realizing what investors really want.
J.P. Morgan Wealth Management scored 728 out of a possible 1,000 points in J.D. Power’s study, which was based on a survey of more than 6,000 investors.
