CEO Wayne Bloom says the firm is considering how a robo offering could help its advisers better connect with clients.
Under Mary Jo White, agency is more prone to launch disciplinary action to correct violations than in the past
Time the SEC revamped the accredited investor definition in a way that broadens the potential pool of investors and strengthens verification that they qualify.
Monday's <i>Breakfast with Benjamin:</i> How leverage led the market sell-off. Plus: Riding wild markets all the way to the elections, the tragic economics of Ebola, using all the Roth tools, more scary theories from Robert Shiller.
The rule, proposed originally by Finra, will require per-share valuation of unlisted REITs or direct participation program on customer statements.
Merrill Lynch expects its revamped fee-based investments platform to pass $200 billion in assets by next week, notching a milestone in its massive platform overhaul.
Social Security and annuities make news, LPL's regulatory headaches continue, and the rest of this week's must-read stories for advisers.
LPL Financial cuts 11 cents a share from its third-quarter earnings forecast after projecting it will need another $18 million to satisfy regulatory concerns.
New research shows how uncomfortable self promotion makes listeners.
The firm's thundering herd climbed back to 14,000 in the third quarter after several quarters of steady declines.
This week's must-read stories for advisers include employment drama at LPL and Merrill, Bill Gross speaking out, and a renewed push for more women in advice.
Firm picks up father-son duo who previously brought in $3.5 million a year in revenue.
Jordan Belfort, whose memoir “The Wolf of Wall Street” was turned into a film by Martin Scorsese, expects to earn more than he made as stockbroker this year, allowing him to repay the victims of his financial fraud, allowing him to repay the victims of his financial fraud.
Betterment founder and CEO Jon Stein says automation helps investors achieve better outcomes by taking irrational emotions out of the picture, improving returns and saving time.
Betterment founder and CEO Jon Stein says Betterment Institutional lets advisers get in on the “robo-adviser” game by allowing them to outsource portfolio re-balancing, daily tax-loss harvesting and more.
Wealthfront and Betterment take to Twitter and the blogosphere as stock market volatility rises.
If advisers are truly looking out for the best interests of their clients, the 60-40 portfolio approach needs to change.
House poised to approve continuing resolution that freezes SEC budget, while agency's chairman says funding not enough to support expanded adviser exams
Republicans reject SEC user-fee amendment to appropriations bill that would have provided additional funding for adviser exams
Citing concerns over investor protection, SEC commissioners will take up a Finra proposal that would allow arbitrators to alert Finra to broad investor threats during dispute hearings.
