'As a mother of three young kids ... I am so pleased to see NASAA recognizing the need for some flexibility,' an advisor says.
Politicians and regulators shouldn't be unduly favoring or burdening particular investment vehicles.
The regulator alleged the firm's global markets unit had flawed underwriting processes for securities offerings.
The Commodity Futures Trading Commission alleged that two outside systems Goldman relied on to record conversations sometimes failed in 2020.
'This is further indication that NFT trading by advisors is not ready for prime time,' Ric Edelman says.
Advisors have a range of stances on cryptocurrency, even in ETF form.
The class-action complaint alleges the hack exposed personal information of 61,000 TD customers.
'We need to address the looming debt and quit kicking the can down the road,' one advisor says.
Plans now have until 2026 to add Roth accounts that will allow high earners to make catch-up contributions.
Decision strikes blow against online brokerage Robinhood but is hailed as a 'Fenway Park Red Sox grand slam home run' by fiduciary advocate.
Some Wells Fargo Advisors clients never got promised discounts, according to the regulator.
The Republican presidential candidate has blamed her own party for its role in driving federal debt.
Susan Collins said she is surprised the economy has remained so resilient.
A brokerage and a rep, both targets of Finra disciplinary actions, have filed suits questioning the regulator’s constitutionality.
Asset manager under fire as it tries to repair post Epstein damage.
The disgraced singer is serving a 30 year jail sentence.
Pension funds led by the Iowa Public Employees' Retirement System brought an antitrust action related to the banks' control of the market for stock loans used for hedging and short selling.
The provision was buried on page 302 of a rule focused on private-fund advisors. The SEC also reopened the comment period on its advisor custody proposal.
Quarterly reporting and an annual audit 'could eat into returns and be borne by investors.'
There has been a trend away from mutual funds toward ETFs, but not in the 401(k) world, and fund provider F/m Investments sees that an opportunity.
