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The responses of other federal agencies concerned about developments in securities markets may conflict with the SEC's core missions.
In fact, some of the largest DAF providers in the country have made significant strides over the past three years to offer donors greater flexibility to choose investments aligned with their personal values and philanthropic intent.
Knight Nguyen Investments and its owner claimed to be experts in alternative investments.
Panelists testified that more must be done to help retirement savings, including emergency savings and student-debt management services. It might also mean passing legislation to discourage workers from prematurely cashing out their 401(k) balances.
The legislation advances to the House floor as the SEC is taking public comments on increasing ESG reporting requirements.
Ninety percent of plan participants who are aware of ESG choices said they invest in them.
The company will merge Legacy One Financial Advisors into a subsidiary, USCA RIA, and rename the merged entity U.S. Capital Wealth Advisors.
The broker, Matthew Clason, transferred more than $668,000 from the victim’s investment accounts into a joint bank account and then took most of it, according to the Department of Justice. He faces up to 20 years in prison.
Year-over-year values are up more than 30% across more than 30 million IRAs, 401(k) and 403(b) accounts.
The company's new Responsible Investing Institute taps into the growing appeal of ESG investing by giving financial advisers a road map to building portfolios and working with clients. Beyond the courses, the curriculum also include podcasts.
Jeffrey Schiffman joins the firm’s employee unit in Palm Beach Gardens, Florida.
The proposed SECURE 2.0 legislation seeks to raise the age for required minimum distributions, but that will create more problems than it solves.
Advisers become a part of their listeners' lives when they launch a podcast.
The SEC chair deftly handled four hours of questioning from lawmakers, including a query about Reg BI. He showed he’s a deft politician who will be able to guide policy in a direction he favors.
In the fund tracker's second round of measuring the ESG commitment of asset managers, it found that most fund companies rank near the bottom.
Meanwhile, the Long Island, New York-based firm also reported that its financial condition continued to decline.
The Securities and Exchange Commission says the firm knew that hackers were trying to access participant accounts but didn’t report them.
Though registered investment advisory firms could benefit from hunting for new clients at the DC plans they manage, will they begin to acquire retirement plan adviser firms?
