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Money funds just had their biggest month ever
MUTUAL FUNDS APR 03, 2020
Money funds just had their biggest month ever

Investors seeking a safe place for cash put a record $790 billion into government money-market funds in March, according to Crane Data

By Emile Hallez
3 Questions: COVID-19’s impact on annuities
RETIREMENT PLANNING APR 03, 2020
3 Questions: COVID-19’s impact on annuities

Retirement reporter Emile Hallez talks about his cover story on how the pandemic changes the market outlook for annuities

By InvestmentNews
Treasuries staring at negative rates after Fed's bank move
FIXED INCOME APR 03, 2020
Treasuries staring at negative rates after Fed's bank move

The central bank's decision to allow banks to take on more leverage is pushing down yields on Treasuries

By Bloomberg
What advisers should be saying to clients during this black swan event
OPINION APR 03, 2020
What advisers should be saying to clients during this black swan event

Major market downturns give financial advisers an opportunity to show their clients the value of their expertise and advice

By Larry Adam
Virus outbreak pounds those without rainy day funds
REGULATION AND LEGISLATION APR 03, 2020
Virus outbreak pounds those without rainy day funds

Only 21 states require high school students take a personal finance course

By Mark Schoeff Jr.
What firms need to know about M&A in today's landscape
OPINION APR 03, 2020
What firms need to know about M&A in today's landscape

While the factors driving deals remain the same, the uncertainty could affect the number of deals near-term, and there's been a shift in the balance of negotiating power

By Scott Slater
SEC maintains deadline for Reg BI
PRACTICE MANAGEMENT APR 02, 2020
SEC maintains deadline for Reg BI

The major investment-advice rule remains on track despite calls to delay implementation amid the COVID-19 crisis

By Mark Schoeff Jr.
Market plunge chops pension funding by 9%
RETIREMENT PLANNING APR 02, 2020
Market plunge chops pension funding by 9%

The sell-off in response to the pandemic has hit some industries' pensions plans, such as airlines', harder than others, two reports suggest

By Emile Hallez
ETrade still a sweet fit for Morgan Stanley: Gorman
WIREHOUSES APR 02, 2020
ETrade still a sweet fit for Morgan Stanley: Gorman

The bank's CEO remains optimistic about the acquisition despite the COVID-19 crisis

By Bruce Kelly
Navigating 2020: Pandemic lessons from Asia and Europe
INDUSTRY NEWS APR 02, 2020
Navigating 2020: Pandemic lessons from Asia and Europe

Senior wealth managers from Asia, Europe and the US share insights on dealing with the phases of this pandemic.

By InvestmentNews
3 Questions: Markets and music with Josh Brown
INDUSTRY NEWS APR 02, 2020
3 Questions: Markets and music with Josh Brown

The CEO of Ritholtz Wealth Management talks about where markets are headed

By InvestmentNews
Texas fines LendingClub $400,000 for unregistered sales
FINTECH APR 02, 2020
Texas fines LendingClub $400,000 for unregistered sales

The online lending marketplace claims it was selling ‘covered’ securities

By InvestmentNews
Former Morgan Stanley rep fined over expense improprieties
REGULATION AND LEGISLATION APR 02, 2020
Former Morgan Stanley rep fined over expense improprieties

Finra suspends Jacqueline Jacobsen for six months and fines her $5,000

By InvestmentNews
'Fired' by Trump in 2005, ex-LPL adviser is suspended by Finra
BROKER DEALERS APR 02, 2020
'Fired' by Trump in 2005, ex-LPL adviser is suspended by Finra

Mark Lamkin borrowed $1.3 million from a client and didn't disclose it, according to the regulator

By Bruce Kelly
American Century puts nontransparent ETFs on the map
MUTUAL FUNDS APR 02, 2020
American Century puts nontransparent ETFs on the map

The asset manager launches the first two such funds; says it expects the active strategies to shine amid the crisis

By Jeff Benjamin
Finra bars former LPL rep over loan guarantees
BROKER DEALERS APR 02, 2020
Finra bars former LPL rep over loan guarantees

Patrick Coogan signed bank ‘control agreements’ for a customer's loans without authorization

By InvestmentNews
Strategist Alan Skrainka joins Krilogy
RIAS APR 02, 2020
Strategist Alan Skrainka joins Krilogy

The former Edward Jones market guru had been with Cornerstone

By InvestmentNews
How will smaller firms move forward in such a demanding era?
OPINION APR 02, 2020
How will smaller firms move forward in such a demanding era?

Large RIAs will have a much easier time navigating the crisis caused by the coronavirus, providing another impetus for M&A

By Scott Hanson
Allworth acquires $450 million Houston Asset Management
RIAS APR 02, 2020
Allworth acquires $450 million Houston Asset Management

Assets under management at the former Hanson McClain near $8 billion

By InvestmentNews
Court denies Raymond James’ motion to vacate $1.8 million arbitration award
REGULATION AND LEGISLATION APR 01, 2020
Court denies Raymond James’ motion to vacate $1.8 million arbitration award

Efforts to upend arbitration decisions were criticized by claimants' attorneys

By Mark Schoeff Jr.