ProShares and VanEck offerings are among those withdrawn at the agency's request.
Racquel Oden to oversee branch and wealth management teams for tri-state area.
But long-term, the agency may get around questions of constitutionality by changing the way it brings on administrative law judges.
Regulator set to inquire about Guillermo Valladolid's alleged outside activities.
Bradley Mascho already charged by SEC with abetting fraud.
It's one in a growing list of instances where plan advisers are being named co-defendants alongside their clients.
An article from the Wall Street Journal reveals that B-D reps are incentivized to recommend costlier investments to clients over cheaper ones.
Valuations of RIAs will continue to entail more art than science.
Will clients become more interested in paying commissions? Will the new tax law steer more financial advisers toward independent channels? It could.
While advisers face the difficult task of analyzing the law's impact, they will also have a significant opportunity to prove their value by implementing money-saving strategies for clients as well as their own businesses.
GOP promises workers will see increases in their paychecks starting in February.
Comment letters from the Committee for the Fiduciary Standard and the CFA Institute suggest the clarification is needed to differentiate brokers from investment advisers.
The decision could affect more than 100 cases currently at the SEC, along with a dozen that are on appeal.
Learn about the basics of the pass-through provision as introduced by the Tax Cuts and Jobs Act last 2017, the entities eligible and the tax implications
Claims that the regulation will harm the 'average Joe' investor by increasing costs, reducing access to advice and derailing retirement plans are bogus.
Digital platforms stop trying to topple incumbents, partnering with them instead
The partnership is designed to make it faster for RIAs, broker-dealers and other enterprise firms to bring a customized robo-advice solution to market.
Measures would obligate financial advisers to tell clients they do not have to act in their best interests.
Firm aims to expand wealth management presence with acquisition.
Texting has been a popular mode of communication for years, but in the past the firm's regulations have prevented advisers from using it.
