The SEC's proposed cybersecurity rule is an example of a one-size-fits-all regulation that would significantly affect smaller firms.
Investment advisers would have to establish anti-money laundering programs under a provision tucked into the bowels of the National Defense Authorization Act. It's another example of the breakdown of regular order on Capitol Hill.
There's a growing pool of women seeking second careers who come from sectors including education and nursing, professions that create skills perfectly suited for wealth management.
Nearly 4 in 10 plan sponsors expect conditions in domestic markets to worsen, up from 20% in 2021.
The purchase of Johnson Brunetti, a retirement and investment specialist with $1.5 billion in assets, keeps private equity-backed Alera on track for its goal of hitting $10 billion in assets within a year.
Real assets such as real estate, natural resources and infrastructure provide additional diversification benefits, with some returns outpacing traditional asset classes in an inflationary environment.
New Pinnacle Consulting Group, of Cornelius, North Carolina, specializes in 403(b) plans and currently manages over 600 retirement plans.
Here's the rest of the week’s news from the adviser fintech companies that aren’t on vacation.
The firm was charged with inadequately supervising its representatives, who made unsuitable recommendations of structured products.
B. Riley Financial had purchased a large stake in National Securities Corp.'s parent in 2018 and bought the remaining shares last year.
Rep. James Comer is calling on Edward Prewitt, who advised Hunter Biden, to provide information related to deals that triggered suspicious activity reports.
The tax deal in the Senate would eliminate the tax break used by private equity and hedge fund managers.
Ron Shurts, co-founder and CEO of Annexus, which develops annuities and other insurance products, will become a managing partner of Integrity.
At a hearing Thursday on scams and risks in the crypto and securities markets, senators on both sides of the aisle pitched legislation to protect investors from harm.
A new study shows 7 out of 10 caregivers are so focused on their caregiving duties that they put off addressing their own needs.
Each of the firms failed to comply with the agency's rule on identify theft red flags.
As insurers push prices on LTC policies higher, individuals must weigh their policy options to maintain protection at an affordable price.
The asset manager's new resource, Growth Lab, will provide tools to help independent financial advisers with growing their practices and lead generation.
The five-year contract covers the state’s 401(k) and 457 supplemental plans for state employees.
Nearly two-thirds admit needing more planning assistance, Northwestern Mutual survey finds.
