Vereit Inc. agreement follows $1 billion litigation settlement in September
Rulemaking agenda includes items on accredited investor definition, exempt offerings
Addepar says assets linked to its technology are growing at an average of $10 billion a week.
Agency obtains temporary restraining order against Neil Burkholz and Frank Bianco.
Female advisers should champion their expertise.
Critics still worry that cybercriminals will be able to hack system
Fewer women apply for jobs as financial advisers than men, but that shouldn't stop firms from trying to create more balance in their adviser ranks.
Revenue sharing is an opaque practice that may require additional attention from broker-dealers as the SEC rule takes effect, Morningstar warns.
Bipartisan measure would establish 14-year statute of limitations, countering recent high court decision that set a five-year limit on recouping losses.
The SEC plans to approve active nontransparent ETFs from T. Rowe Price, Natixis, Fidelity and Blue Tractor
Although most advisers are hesitant to let go of any revenue, three-quarters say they have ended a relationship with a client.
And impact investing needs them.
Leveraging key technologies can ensure that clients' interests are protected.
Ongoing support must be committed to continuously enhance protection and fraud detection.
Merrill Lynch, Chase Wealth Management tout people of color in training programs.
There are a couple of requirements clients should meet before they start picking stocks.
But they will see extras in services, including trusts and insurance marketing, says Advisor Group CEO Jamie Price
The opportunities are not without challenges, however
Cases bring focus to protection of retail investors, including crackdown on expensive share classes.
