Many owners of small firms don't plan their exit properly — or at all. Here are things advisers should keep in mind to help business-owner clients make plans.
Andrew Hartnett, who's deputy administrator for securities in Iowa's Insurance Division, has put assessing the broker conduct standard at the top of his priority list at NASAA.
It's back to an 'organic plan' for the bank's wealth management business in the United States, says Iqbal Khan, co-president of UBS Global Wealth Management.
The Retirement Income Style Awareness profile matrix matches clients' preferences with financial solutions.
Sixty percent of workers say they're focusing more on their financial benefits compared to a year ago, according to the firm's survey.
Judge rejects Amy Cooper's suit against Franklin Resources in which she claimed racial and sexual discrimination and defamation.
But NASAA reports increase in both fines and restitution in 2021, with states collecting $145 million in fines and returning $312 million to investors.
The deal for NPB Financial Group in Burbank is the latest in a modest string of broker-dealer acquisitions occurring against the backdrop of the red-hot M&A market for RIAs.
The credential will confirm an adviser’s expertise in working with nonqualified deferred compensation and executive compensation plans.
Equitable's new program is aimed at the micro 401(k) market, while American Century launched a product to help select guaranteed income products for plans.
Millennials — those born between 1981 and 1997 — trail far behind older generations, with only 5% of the country's wealth. But they're starting to come into their own.
Adding a tax overlay to multiple unified managed accounts lets advisers generate tax alpha through APIs that identify and recommend tax-smart trades and sales.
The bank remains committed to turning itself around after a series of scandals, but implementing all its plans will take time, Scharf said in prepared testimony for a congressional committee hearing.
The move aligns state policy with a Finra initiative that extended the grace from two to five years as long as brokers stay current on continuing education.
When the bank replaced hard drives and servers, it improperly disposed of thousands of devices, compromising the personal data of about 15 million clients.
A risk alert released Monday gives advisers a preview of how the agency will assess compliance with the regulation, which overhauls advertising restrictions for the first time in 60 years.
Financial advisers are fielding calls from clients wondering what, if anything, they should be doing with their home loans now that 30-year fixed mortgages have pierced 6%.
VRGL's $15 million Series A round, FMG's acquisition of Vestorly, Farther's funding round and Orion's partnership with Apex Clearing are among the highlights of this month's roundup.
Finra's rule proposal would tighten the process for clearing customer disputes from broker records, but NASAA is not yet on board.
Last week, Judge Rodolfo Ruiz gave the SEC 10 days to negotiate a settlement with Par Funding founders Joseph LaForte and his wife, Lisa McElhone.
