Find the latest industry news below.
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11 Last-Minute Tax Tips for 2019 Filing Season
on December 10, 2019 at 7:24 pm
Clients may not be aware of some of these, since parts of the tax law took effect only this year.
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E-Trade Acquires Student Loan Benefits Provider Gradifi
on December 10, 2019 at 7:08 pm
The $30 million cash acquisition positions E-Trade Financial to offer student loan benefits through employer benefits programs.
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Wells Fargo Kills Commissions for DIY Investors
on December 10, 2019 at 6:47 pm
The move to zero follows the industry trend started by Charles Schwab in early October.
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Institutional Investors Ignore Sexual Harassment at Their Peril, Group Warns
on December 10, 2019 at 6:36 pm
Ignoring harassment at the firms that are managing their money can have devastating consequences, a due diligence group says.
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The Angst of Selling an Advisory Firm
on December 10, 2019 at 4:26 pm
Seventy percent of RIAs feel anxious or worried about partnering with an RIA aggregator, according to a just-released poll from HighTower.
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Canada Throws China Oceanwide-Genworth Deal a Lifeline
on December 10, 2019 at 4:17 pm
Genworth now has permission to sell a big Canadian mortgage insurance subsidiary to Brookfield.
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Ex-U.S. Rep Collins, Others Settle With SEC Over Insider Trading
on December 10, 2019 at 3:13 pm
As a result, the former Republican representative will be barred from acting as an officer or director of any public company.
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Don't Just Use Technology — Embrace It
on December 10, 2019 at 2:55 pm
You may have lots of cool tech, but here's how to use it to get tangible results.
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The Best Networking Ice Breakers for Shy People
on December 10, 2019 at 12:19 am
'Tis the season to wonder... what do you say to these people?
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Younger Consumers Applied for Life Insurance: MIB
on December 9, 2019 at 11:58 pm
The positive MIB activity number for people ages 0 to 44 was the first recorded since June 2018.
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Another Broker Impersonated Clients 6 of Them. FINRA Wasn't Pleased.
on December 9, 2019 at 10:10 pm
FINRA suspended and fined the former Investacorp rep after he impersonated customers in calls to Nationwide.
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TD Ameritrade Looks at Retail Investors, Sees Positive Signs
on December 9, 2019 at 10:02 pm
Its index of investor activity hit a high for the year, though it's still low by historical standards.
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Morgan Stanley to Cut 1,500 Jobs: Report
on December 9, 2019 at 9:23 pm
The news comes about two weeks after issues surfaced about problems with FX option valuations and the hiding of $140 million in losses.
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How Tech Could End Conflicted Financial Advice
on December 9, 2019 at 9:08 pm
The RIA founder tells ThinkAdvisor how regulators could address conflicts of interest and what he thinks the industry will look like in 10 years.
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State Insurance Regulators Post AI Principles Draft
on December 9, 2019 at 9:07 pm
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