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401(k) plans lag in ESG investing
RETIREMENT PLANNING OCT 05, 2019
401(k) plans lag in ESG investing

Investor zeal for funds guided by environmental, social and governance criteria has not translated into new retirement plan options.

By Greg Iacurci
INDUSTRY NEWS OCT 05, 2019
There's more evolution than revolution in zero commissions

The elimination of commissions on trades was just a matter of time.

By InvestmentNews
Why aren't advisers warming up to ESG?
INDUSTRY NEWS OCT 05, 2019
Why aren't advisers warming up to ESG?

For ESG funds to attract more dollars, advisers are going to have to embrace the concept more enthusiastically than they have in the past

By Adam Shell
INDUSTRY NEWS OCT 05, 2019
Spotlighting sustainability

These short films will be shown Dec. 4 at the inaugural InvestmentNews ESG & Impact Forum Film Festival in New York.

By Bloomberg
Envestnet founder and CEO Jud Bergman killed in automobile crash
INDUSTRY NEWS OCT 04, 2019
Envestnet founder and CEO Jud Bergman killed in automobile crash

Co-founder Bill Crager was named interim chief executive.

By Ryan W. Neal
Finra panel orders Stifel to pay $1.5 million to clients
INDUSTRY NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

By InvestmentNews
Price-pressure trend shines new light on RIA-custodian relationships
INDUSTRY NEWS OCT 04, 2019
Price-pressure trend shines new light on RIA-custodian relationships

Tighter margins for custodians call into question RIAs riding for free.

By Jeff Benjamin
Advice industry reacts to Jud Bergman's death
INDUSTRY NEWS OCT 04, 2019
Advice industry reacts to Jud Bergman's death

Envestnet's CEO is remembered not just for the transformational company he led but for his humor and kindness.

By Ryan W. Neal
Prudential reverses variable annuity suspension in New York
INDUSTRY NEWS OCT 04, 2019
Prudential reverses variable annuity suspension in New York

The decision follows a similar route taken by peers like Jackson National and Lincoln Financial.

By Greg Iacurci
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions
INDUSTRY NEWS OCT 04, 2019
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions

But brokers' hopes of restoring payments kept alive with rulings in two other cases.

By Greg Iacurci
JPMorgan, BlackRock say investors too cautious on repeat of 2008
INDUSTRY NEWS OCT 04, 2019
JPMorgan, BlackRock say investors too cautious on repeat of 2008

Some advisers are endorsing stocks but are encouraging a selective approach.

By Bloomberg
Could Reg BI be a business opportunity?
OPINION OCT 04, 2019
Could Reg BI be a business opportunity?

The SEC's regulation could give some firms a way to set themselves apart from the rest

By Jasmin Sethi
Envestnet founder and CEO Jud Bergman killed in automobile crash
INDUSTRY NEWS OCT 04, 2019
Envestnet founder and CEO Jud Bergman killed in automobile crash

Co-founder Bill Crager was named interim chief executive.

By Ryan W. Neal
INDUSTRY NEWS OCT 04, 2019
Finra panel orders Stifel to pay $1.5 million to clients

Sum constitutes compensatory damages for breach of duties.

By InvestmentNews
INDUSTRY NEWS OCT 04, 2019
Price-pressure trend shines new light on RIA-custodian relationships

Tighter margins for custodians call into question RIAs riding for free.

By Jeff Benjamin
INDUSTRY NEWS OCT 04, 2019
LPL, Triad brokers lose Ohio National lawsuit over variable annuity commissions

But brokers' hopes of restoring payments kept alive with rulings in two other cases.

By Greg Iacurci
INDUSTRY NEWS OCT 04, 2019
JPMorgan, BlackRock say investors too cautious on repeat of 2008

Some advisers are endorsing stocks but are encouraging a selective approach.

By Bloomberg
INDUSTRY NEWS OCT 04, 2019
Prudential reverses variable annuity suspension in New York

The decision follows a similar route taken by peers like Jackson National and Lincoln Financial.

By Greg Iacurci
REGULATION AND LEGISLATION OCT 04, 2019
Could Reg BI be a business opportunity?

The SEC's regulation could give some firms a way to set themselves apart from the rest

By Bloomberg
OPINION OCT 04, 2019
Morningstar ratings to begin incorporating ESG risk next month

According to a Morgan Stanley report, the only statistically significant underperformance of sustainable strategies occurred nearly a decade ago.

By Jon Hale