Finra has proposed a pilot program for firms that want to continue remote inspections, in line with the seemingly permanent use of remote work.
Eric Noll, the CEO of Context Capital Partners, first joined the Finra board in August 2020.
A roundup of the week's fintech news for financial advisers.
The nonprofit organization announced that grants increased 14% during the first half of 2022, totaling a record $952 million.
The QDIA combines a target-date fund for younger individuals and Stadion’s StoryLine managed account service for participants aged 50 and older.
The addition of E. F. Heagan & Associates and Mandichak Investment Retirement & Estate Planning brings more than 500 new clients.
The wirehouse is also adding additional automation to its Shareworks and Equity Edge Online platforms.
The Diamond Standard Fund is trying to provide a standardized way to trade diamonds and is working with wealth managers, high-net-worth investors, family offices, IRA platforms and institutional investors.
William Galvin announced a 'sweep' of firms offering the new ETFs, which he compared to gambling at a casino.
Pending investigation, Massachusetts adviser Filippo Mastrocola can’t use CFP certification mark.
Criminal and civil fraud charges were filed against Anthony Mastroianni Jr., who sold fake promissory notes to older investors.
Alison Dooher, head of digital adviser solutions at Schwab Advisor Services, gives a look at the brokerage's integration road map.
The number and total dollar amount of charitable gifts increased 10% last year, and the average gift size also spiked.
Private equity investors have flooded the wealth management industry; now, it's a hedge fund's turn.
Firms are constrained by legacy technology stacks, and it's not easy for them to pivot and deliver the connected digital wealth experience their advisers want.
Regulator says rep defrauded clients by saying variable annuities were commission free.
Decades after coining the term 'exchange-traded fund,' the firm plans to offer four socially conscious funds under the Calvert label.
This month's roundup looks at Envestnet's acquisition of Redi2, Catchlight's new system to assess prospects and AssetMark's deal for Adhesion Wealth.
SEC, CFTC worried that messages were being completely lost and would ultimately make it harder to look for wrongdoing.
The number of IRAs on Fidelity’s platform increased in Q2 and the percentage of employees with 401(k) loans remained low for the fifth consecutive quarter.
