Even with the recent recoveries in the stock and bond markets, the classic 60/40 split may be a thing of the past, and some argue alternatives are the future.
A NASAA model rule gives states the ability to yank the license of a brokerage or advisory firm that dodges an arbitration award or other judgment.
Many trade groups representing financial advisers have donated to at least one lawmaker who objected to certifying the 2020 presidential election.
The team at Indianapolis-based CSi Advisory Services is joining Hub Midwest East.
The SEC's 'Investomania' videos are an attempt to encourage investors to research before investing, but some are upset by the videos' references to meme stocks and crypto.
Catch up on the highlights from this week in fintech news.
ForUsAll, a 401(k) provider that specializes in alternative investments, alleges that Labor exceeded its authority by trying to institute an effective ban.
John Sherman Jumper, a 17-year veteran of the securities industry, was based in Memphis, Tennessee.
The collective investment trusts will use SEI Trust Co. as the trustee.
The latest annual report from the Social Security and Medicare Trustees moves the program's insolvency date back by one year.
Covid-era restrictions mean those traveling overseas should have backup plans for their health care and finances.
Virginians without access to a workplace retirement savings plan will now be able to save a portion of their pay in a professionally managed IRA.
Blackstone's CEO says the firm sees a 'huge' opportunity with retail investors and advisers, while a Morgan Stanley executive talked about recent and potential acquisitions.
The restitution settles Finra charges that the firm recommended Class C shares with ongoing fees when more affordable Class A shares were available.
The father-and-son team of Bill and W. Grove Stewart will operate as Stewart Wealth Advisory Group in Annapolis, Maryland.
Closed-end funds have emerged as a potential solution for retirees seeking to smooth out their cash flows and in turn soothe their shaken nerves.
Australian fintech Lumiant provides a digital client portal and engagement technology for advisers, and RIA Savant will be its first US customer.
Madison Avenue Securities didn't disclose or didn't adequately disclose conflicts associated with compensation the firm received from certain advisory client investments.
The company said the deal underscores its ongoing commitment to the retirement plan industry and to investing in technologies that enhance its 'financial wellness ecosystem.'
The tax implications of an IRA conversion are far from automatic and can be difficult to forecast this early in the year.
