Find the latest industry news below.
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.
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.
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.
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.
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.
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.
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.
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.
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?
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.
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.
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.
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.
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.
State Insurance Regulators Post AI Principles Draft
on December 9, 2019 at 9:07 pm
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