The Ellevest CEO is using her tech to help women who have been disproportionately impacted by the pandemic
Agency also seeks comments on whether additional rules are needed to protect investors buying complex products
COVID-19 could lead more workers to take money out of retirement accounts, according to a survey from Edelman Financial Engines
Broker-dealers have been competing to lower fees in order to reduce potential conflicts of interest
The $100,000 fine the SEC imposed on a wealth management firm related to its employees’ text messages shows the need for caution in this area
Investors are waiting to learn more about CEO Scharf's strategy amid news of job cuts, sales of business units
Arbitrators also rebuffed brokers’ counterclaims of defamation and unfair competition
Robert Loupee and Michael Graziani shift firms in Bloomfield Hills, Michigan
The measure would build on the SECURE Act, but its legislative path is uncertain
More than $3 billion was returned in fiscal 2020 through investigations, voluntary corrections and other programs, according to the agency
The technology will help LPL advisers to run a model portfolio-based practice, according to Chief Investment Officer Burt White
The worsening outlook will likely trigger 401(k), Social Security reform
Under the rule change, only managers with at least $3.5 billion in equities would have had to publicly report their holdings, up from the current $100 million threshold
The bank is also considering whether to unload its $10 billion student-loan portfolio
Peter Zaffino, currently the company's president, will succeed current CEO Brian Duperreault March 1
Advisory firms should provide more details to reps on how to comply with the new rules, said SEC staff members
We look at the big news, announcements and underlying trends and developments that are emerging in the world of technology solutions for financial advisers!
Plan sponsors want the services for their participants, but wellness has done little to help people improve their financial lives
Stocks pared their losses during the afternoon as the biggest tech companies recovered
Lee, Crenshaw say the agency is providing leeway to violate the rule, putting investor funds at risk
