'When was the last time you saw an article that said an RIA is going to a wirehouse?' asks Verdence founder Leo Kelly.
After surging during the pandemic, SPACs have fallen out of favor, and the agency's new rules could further reduce investor interest.
Led by demand for fixed products, total annuity sales were up 23% last year, according to Limra.
At the root of many investor mistakes are the fears, biases and other common behaviors that undermine sound investing.
Your job is to build deep trust with prospects, and that comes from their feeling you understand their issues at a deep level.
'This happens when there is a new frontier of investment categories,' a compliance expert says. 'A lot of folks get very excited. What that means is [compliance] policies and procedures don’t catch up with the business side.'
The SEC alleged that Texas broker Doug McKelvey misappropriated more than $1.7 million.
The board for the new firm, Tifin AG, includes financial industry vets from Focus Financial and J.P. Morgan.
Tool aims to make it easier to keep track of commitments in real time.
Brian Kahn is exiting as CEO just months after a leveraged buyout of Franchise Group aided by B. Riley Financial.
If the Chevron deference is overturned, 'the SEC will no longer be able to create new rules that are designed to apply to new things going on in the marketplace,' an attorney says.
A separate long-shot bill to eliminate the estate tax could help set the stage for tax reform in 2025, when individual rate cuts expire.
With the program’s trust funds scheduled to be depleted by 2034, the threat is real, but so is the impasse in the nation’s capital.
Bay City, Michigan-based Maier & Associates includes members of three generations of the Maier family.
The agency has carried out interviews about the broker-dealer and its relationship with a key client who was linked to a securities fraud.
Team of seven advisors is led by a 36-year industry veteran.
The firm has partnered with digital estate planning provider Vanilla.
During his 14 years running the firm, Gorman engineered a transformation of Morgan Stanley.
Although there will almost certainly be a legal challenge, don’t count on it going away, lawyers say. Here are some big issues to watch for.
Do you have what it takes to make the prestigious list?
