RIA BlackCrown violated procedure by filing antitrust lawsuit without attorney
A well-seasoned CCO can help transform an RIA by bringing an objective and mindful stance to the typically sales-oriented decision-making at a firm
While some plan advisers talk about shifting their focus, few have changed their business models to reflect this new focus
NAIC leader touts increased protections; consumer advocates say measure falls short
The move brings the low-cost asset manager up to speed with the likes of Schwab, TD Ameritrade, Fidelity and ETrade
Massachusetts and New Hampshire cited the firm's sales practices and supervisory failures
Also censures firm, again, for not paying discounts to eligible customers
Global study found 77% of this age group consider environmental, social and governance concerns more important than returns
New York’s BlackCrown files antitrust suit saying deal would decimate small firms
The level of unspent capital suggests M&A activity this year could be on a scale not seen since the financial crisis
Finra also fines firm $800,000 for failure to supervise UIT rollovers
Fund closures spiked this year at the same time that asset managers set up the fewest new ETFs since 2014
Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.
Phillip Frost seeks monetary damages, a halt to the merger and the cancellation of the 2018 transaction
The changes will go into effect Feb. 28
Provision would make it easier for small businesses to form collective 401(k) offerings
Site to weed through Finra and SEC regulatory disciplinary data.
An analyst is forecasting trouble for the wirehouse through next year, with mounting risk as Democrats take aim
State regulators also see trouble in real estate, cryptocurrencies and social media investments
Finra and exchanges say firm’s clients generated more than 50,000 alerts
