Record highs for B-Ds in profits, revenues and assets give the industry much to be cheery about.
Partisan differences will hamstring legislation, as Democrats stress investor protection and Republicans focus on protecting innovation.
The acquisition marks the third deal for ComplySci in the fourth quarter, in the wake of a strategic investment from K1 Investment Management, a private-equity firm focused on enterprise software companies.
The SEC chairman's comments were the strongest signal to date that he'll push for much tougher rules for special purpose acquisition companies.
Finra found that for 17 years, the firm failed to store 13 million customer records in the required format.
The trade association said the regulator has all the tools and authority it needs through Reg BI. It's also pushing agencies to allow remote supervision permanently.
The two executives, Dane Roseman and Ivan Acevedo, were both sales managers for Woodbridge at different times between 2013 and 2017.
The Supreme Court justices hinted at different positions on whether Northwestern did a disservice to participants by having too many options.
Record net inflows are just a part of the story. ETFs continue to take market share of mutual funds by doing more for less.
The nominee to head Employee Benefits Security Administration could receive full Senate confirmation later this month.
The legislative highlight of the year was Democrats raising fewer taxes on the wealthy than anticipated.
Many advisers are telling clients to wait until the smoke clears on Capitol Hill before making major tax planning decisions.
The plaintiffs failed to make any factual allegations about the Adidas plan sponsor’s process of selecting investments, the magistrate judge noted.
Riding the direct indexing wave, the WisdomTree Crypto Index is designed for advisers but could also offer direct access for retail investors.
The Massachusetts senator is asking Greenidge Generation how its Bitcoin mining operations will affect climate change and the local environment.
At a meeting of the SEC Investor Advisory Committee, SEC Chair Gensler says many digital tokens are securities and fall under its jurisdiction, while Commissioner Peirce says agency is applying 'strategic ambiguity' to pursue enforcement first.
The key is for funds to be transparent about their investment strategies and live up to them, panelists at the InvestmentNews ESG Summit said.
Plaintiffs in a 2020 class-action lawsuit claimed the school failed to select competitive investments and administrative services.
VCA participants paid annual record-keeping fees of up to $105, while some comparably sized 401(k)s have fees closer to $38, plaintiffs claim.
Allianz's chief economic adviser suggests the central bank 'ease your foot off the accelerator starting now.'
