Finra will not require the documentation normally needed to obtain a testing accommodation. That will allow candidates to opt for an online exam if they’re reluctant to go to a test center.
Envestnet plans to ramp up investments into a digital financial wellness ecosystem that connects multiple aspects of a user's financial journey.
The largest independent broker-dealer reported forgivable loans to recruits of $419.2 million at the end of last year. Forgivable loans are one of the most common ways broker-dealers use to attract recruits.
As its wealthiest clients fly south, the wirehouse plans to double the number of teams catering to ultra-high-net-worth individuals in the Sunshine State over the next few years.
Advisers need to grasp the Employee Retention Credit, in order to better inform their clients and make better decisions for their own businesses.
Merchant Investment Management will own a minority share of the $850 million New Jersey-based registered investment adviser.
An SEC official indicated reviews are still meant more to help firms comply with Reg BI than to punish them for violations of the rule. But it's a good idea to document recommendations.
Donor advised funds can be used to support increasingly popular impact investing.
Just 2.3% of participants in defined-contribution plans stopped contributing to the plan in 2020 amid the pandemic.
Latest benchmarking study shows compensation representing 74% of RIA expenses and growing by 4% annually.
More than half are seriously considering leaving the profession or retiring early. A third of those thinking about leaving for other fields were tenured professors.
Duckett succeeds Roger Ferguson Jr., who had announced his plans to retire. She was most recently CEO of Chase Consumer Banking.
Regulator says the firm caused recruits to take nonpublic personal client information.
Data suggest that the adoption of the SEC’s vague Regulation Best Interest and the abandonment of a strengthened DOL standard for retirement accounts have already cost savers billions of dollars in lost returns.
The agency's corporate finance group will focus on climate in their reviews of corporate filings, the regulator announced Wednesday.
Cetera is offering a standard range of transition money to Voya's 900 advisers while LPL is flexing its muscle, according to several market sources.
SPAC deals are dominating the market as a convenient shortcut that allows fintechs to go public without the hassles involved in pursuing an initial public offering.
Walsh says he will tell EBSA to reexamine the regulation, which an expert says has led to ESG products being taken off of retirement plan platforms.
The manager of the Infinity Q liquid alt fund was fired after being accused of fudging asset values. The fund could not value its assets for purposes of calculating its net asset value.
Annual Allianz retirement study found earlier retirement, more strained personal finances
