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Rhode Island enacts financial literacy legislation
NEWS REGULATION AND LEGISLATION JUN 18, 2021
Rhode Island enacts financial literacy legislation

The state’s students will receive personal finance education before graduating from high school.

Team managing $1 billion at Wells Fargo goes to RBC
YOUR PRACTICE PRACTICE MANAGEMENT JUN 18, 2021
Team managing $1 billion at Wells Fargo goes to RBC

The four-adviser Seidler Cattich group is joining the firm in San Francisco.

SEC charges Miami adviser, firm with cherry-picking
NEWS REGULATION AND LEGISLATION JUN 18, 2021
SEC charges Miami adviser, firm with cherry-picking

Ramiro Jose Sugranes of UCB Financial allegedly steered profitable trades to accounts controlled by his relatives.

MassMutual reps managing $400 million switch to LPL
NEWS BROKER DEALERS JUN 17, 2021
MassMutual reps managing $400 million switch to LPL

Alicia Curtis and Jyl Barnard of Curtis Barnard Financial Services and Chris Dearing of Riverfront Financial share an office in Peoria, Illinois.

YOUR PRACTICE PRACTICE MANAGEMENT JUN 17, 2021
Outstanding Practices: RBC Wealth Management – U.S.

Five years ago, a new leadership team decided to focus on recruiting and retaining diverse employees and supporting diverse communities. The firm concentrated on two areas: increasing the number of women financial advisers and increasing racial and ethnic diversity.

Ever hear of a ‘lay fiduciary’? There are 17.5 million of them
RETIREMENT RETIREMENT PLANNING JUN 16, 2021
Ever hear of a ‘lay fiduciary’? There are 17.5 million of them

Group says nonprofessional plan fiduciaries who oversee assets in pension plans, foundations, endowments and trusts often don’t understand their responsibilities

Women dissatisfied with retirement industry’s work-life balance
RETIREMENT RETIREMENT PLANNING JUN 16, 2021
Women dissatisfied with retirement industry’s work-life balance

The survey also finds sense among women that their compensation has not kept pace with their experience and responsibilities.

Goldman Sachs enters custody business with Steward Partners as first client
NEWS INDUSTRY NEWS JUN 16, 2021
Goldman Sachs enters custody business with Steward Partners as first client

Steward will use Goldman for assets held at Umpqua Investments, which it acquired recently.

Crypto fund manager completes $70M Series B funding
INVESTING MUTUAL FUNDS JUN 15, 2021
Crypto fund manager completes $70M Series B funding

Bitwise Asset Management draws backing from Henry Kravis, Stanley Druckenmiller, Daniel Loeb and other big names.

Bipartisan majority likes ‘Retirecare,’ survey finds
RETIREMENT RETIREMENT PLANNING JUN 15, 2021
Bipartisan majority likes ‘Retirecare,’ survey finds

Enrolling working Americans in a government-sponsored retirement plan is a broadly popular idea.