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Be recognized as one of the industry’s 'hottest'
INDUSTRY NEWS AUG 30, 2023
Be recognized as one of the industry’s 'hottest'

Don’t miss the chance to be featured in InvestmentNews’ inaugural Hot List showcase.

By InvestmentNews
ESG rules shouldn't make it harder for advisors to do business
OPINION AUG 30, 2023
ESG rules shouldn't make it harder for advisors to do business

Politicians and regulators shouldn't be unduly favoring or burdening particular investment vehicles.

By Dale Brown
Think twice: The cost of being out of the market
OPINION AUG 30, 2023
Think twice: The cost of being out of the market

Some investors mistakenly believe they can achieve superior results by trying to time the market, but this approach inevitably leads to missed opportunities.

By Arun Bharath
RIA with $950M AUM to join Pensionmark amid wealth management growth
RIAS AUG 30, 2023
RIA with $950M AUM to join Pensionmark amid wealth management growth

World Insurance Associates' retirement specialists unit is growing its national footprint and wealth management focus.

By Steve Randall
Stratos hires experienced wealth management exec as chief operating officer
PRACTICE MANAGEMENT AUG 30, 2023
Stratos hires experienced wealth management exec as chief operating officer

The firm is moving into a new phase of growth and has hired a former LPL, Citi, and Capital One leader.

By Steve Randall
Citigroup to pay $2.9M to settle SEC underwriting probe
REGULATION AND LEGISLATION AUG 30, 2023
Citigroup to pay $2.9M to settle SEC underwriting probe

The regulator alleged the firm's global markets unit had flawed underwriting processes for securities offerings.

By Bloomberg
Bitcoin fund behemoth surges after ETF court ruling
ALTERNATIVES AUG 30, 2023
Bitcoin fund behemoth surges after ETF court ruling

Grayscale's win against the SEC has boosted the prospect of spot Bitcoin ETFs.

By Bloomberg
History suggests the dollar is about to rise
INDUSTRY NEWS AUG 30, 2023
History suggests the dollar is about to rise

The greenback has strengthened in each of the past 6 Septembers.

By Bloomberg
Hedge funds are expanding basis trades, data suggests
INDUSTRY NEWS AUG 30, 2023
Hedge funds are expanding basis trades, data suggests

Surge in short sales of US Treasury futures hints at a return of the tactic.

By Bloomberg
More low-income Americans are skipping meals, missing rent
INDUSTRY NEWS AUG 30, 2023
More low-income Americans are skipping meals, missing rent

The cost-of-living crisis is biting hard in America's poorest households.

By Bloomberg
Countering the counterfeits: How to spot a fake Prada
INDUSTRY NEWS AUG 30, 2023
Countering the counterfeits: How to spot a fake Prada

Blockchain tech is being used in the battle against fake luxury products.

By Bloomberg
Goldman pays $5.5M over allegation it didn't record calls
REGULATION AND LEGISLATION AUG 29, 2023
Goldman pays $5.5M over allegation it didn't record calls

The Commodity Futures Trading Commission alleged that two outside systems Goldman relied on to record conversations sometimes failed in 2020.

By Bloomberg
SEC’s first NFT enforcement action should give advisors pause, experts say
ALTERNATIVES AUG 29, 2023
SEC’s first NFT enforcement action should give advisors pause, experts say

'This is further indication that NFT trading by advisors is not ready for prime time,' Ric Edelman says.

By Mark Schoeff Jr.
Spot bitcoin ETF inches ahead with SEC's court loss
ALTERNATIVES AUG 29, 2023
Spot bitcoin ETF inches ahead with SEC's court loss

Advisors have a range of stances on cryptocurrency, even in ETF form.

By Emile Hallez
Schwab, TD sued for failing to protect customer data from MOVEit hack
FINTECH AUG 29, 2023
Schwab, TD sued for failing to protect customer data from MOVEit hack

The class-action complaint alleges the hack exposed personal information of 61,000 TD customers.

By Ryan W. Neal
Baird adds trio who managed $500M at Zions
ADVISOR MOVES AUG 29, 2023
Baird adds trio who managed $500M at Zions

The three advisors have joined Baird’s office in Salt Lake City.

By Lauren Johnson
Tax cuts vs. debt reduction: GOP presidential debate illustrates conundrum
REGULATION AND LEGISLATION AUG 29, 2023
Tax cuts vs. debt reduction: GOP presidential debate illustrates conundrum

'We need to address the looming debt and quit kicking the can down the road,' one advisor says.

By Mark Schoeff Jr.
Pre-retirees favor advisors with national firm affiliation
RETIREMENT PLANNING AUG 29, 2023
Pre-retirees favor advisors with national firm affiliation

Cerulli Associates research reveals how reliance on advisors rises as retirement approaches.

By Steve Randall
Female-led $325M duo launch sports and entertainment focused firm with LPL
BROKER DEALERS AUG 29, 2023
Female-led $325M duo launch sports and entertainment focused firm with LPL

New independent wealth firm also specializes in helping women in transition.

By Steve Randall
Ultimate status symbol? The 'billionaire's handshake' watch
INDUSTRY NEWS AUG 29, 2023
Ultimate status symbol? The 'billionaire's handshake' watch

At an average $51K each, could these timepieces prove to be a good investment?

By Bloomberg