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Site Map for July 2020
Date
Title
Jul 31, 2020
Brokerage, insurance firms raise concerns about DOL advice proposal
Jul 31, 2020
State Street gold ETF is cash machine
Jul 31, 2020
A champion for women on both sides of the desk
Jul 31, 2020
DOL's ESG proposal gets over 1,500 responses
Jul 31, 2020
Finra eases rules on expensing meals amid pandemic
Jul 31, 2020
Refinitiv upgrades digital tools with Advisor Software purchase
Jul 31, 2020
LPL keeps adding advisers during the pandemic
Jul 31, 2020
Number of B-Ds, reps registered with Finra falls again
Jul 31, 2020
RMD relief is here — but only until Aug. 31
Jul 31, 2020
OCM Capital Partners acquires $440 million RIA
Jul 31, 2020
Getting a handle on black swan events
Jul 30, 2020
Fastest growing RIAs embrace tech at higher rates: Schwab
Jul 30, 2020
Securities class-action suits declined in first half
Jul 30, 2020
Student loans get cheaper, but college is a big question amid COVID-19
Jul 30, 2020
Don’t look a gift horse in the mouth
Jul 30, 2020
Indie advisers easier to recruit during COVID-19 than employees: Raymond James CEO
Jul 30, 2020
SEC warns Form CRS falls short but doesn’t prescribe fixes
Jul 30, 2020
Asset managers can no longer afford to avoid ETF market
Jul 30, 2020
Hightower takes stake in Private Vista
Jul 30, 2020
Focus firm HoyleCohen to acquire Stellar Capital Management
Jul 30, 2020
Pandemic boosts concerns about retirement and Social Security
Jul 29, 2020
Powell says economy still needs help from fiscal policy
Jul 29, 2020
Fidelity launches free mobile app for young investors
Jul 29, 2020
CFPB complaints jump during pandemic: Report
Jul 29, 2020
Adviser managing $279 million at Wells Fargo joins Baird
Jul 29, 2020
Vanguard submits to value curse, plans to fold active fund into an index
Jul 29, 2020
M&T Bank will use LPL for retail securities business
Jul 29, 2020
How technology can help advisers boost their AUM
Jul 29, 2020
State Street launches ESG version of its mammoth S&P 500 ETF
Jul 29, 2020
The future of wealth management is female
Jul 29, 2020
Making an impact with financial literacy
Jul 28, 2020
Wells Fargo files with SEC to offer ETFs
Jul 28, 2020
David Reich, a familiar face in the retirement service world, dies at 50
Jul 28, 2020
Hightower acquires stake in $3.3 billion RIA
Jul 28, 2020
Envestnet MoneyGuide rolls out free data analytics tool for advisers
Jul 28, 2020
Purshe Kaplan Sterling in another million-dollar arbitration settlement
Jul 28, 2020
SEC orders AIG unit to pay $40 million for disclosure violations in teacher retirement plans
Jul 28, 2020
Schechter names new COO
Jul 28, 2020
Invesco benches team responsible for $105 million snafu
Jul 28, 2020
Annuity sales down 24% in Q2
Jul 27, 2020
SEC cites deficiencies in Form CRS filings
Jul 27, 2020
SEI Investments says breach at key vendor exposed customer data
Jul 27, 2020
SEC, DOL take different approaches to regulating ESG investing
Jul 27, 2020
Social media boosts adviser-client relationship amid pandemic
Jul 27, 2020
Silver rally quietly outshines gold in 2020
Jul 27, 2020
INmail: Estimating future Social Security benefits
Jul 27, 2020
Adviser managing $180 million at Wells Fargo moves to LPL
Jul 27, 2020
Gold hits new record; now set to test $2,000 level
Jul 27, 2020
When it comes to proxy voting, ETF sponsors rarely align with shareholders
Jul 27, 2020
Big data and financial wellness in Fava's wheelhouse at Envestnet
Jul 27, 2020
Making use of momentum
Jul 27, 2020
Fund industry tries to clarify types of ESG funds
Jul 27, 2020
Schwab-TD mega merger w/ special guest Dani Fava
Jul 27, 2020
SEC charges Michigan broker with taking $1.15 million from clients
Jul 26, 2020
The hunt for mega RIAs
Jul 26, 2020
DOL’S ESG proposal would hurt retirement accounts
Jul 26, 2020
An eye on tomorrow
Jul 24, 2020
Democrats vow to scrap Reg BI in party platform
Jul 24, 2020
Bloomberg op-ed gets fast rebuke from 401(k) defenders
Jul 24, 2020
Compliance fintech tackles Reg BI
Jul 24, 2020
Matrix Trust Co. sued over alleged lack of 401(k) fee disclosure
Jul 24, 2020
Female trio managing $280 million at UBS moves to Alex. Brown
Jul 24, 2020
UBS' private bank closure raises questions for elite advisers
Jul 24, 2020
DOL urged to address conflicts in pooled employer plans
Jul 24, 2020
Assembling the range of skills needed to run an advisory firm
Jul 23, 2020
Retirement income fintech lands $2.3 million funding round
Jul 23, 2020
RIA in a Box to expand mobile offerings after app launch
Jul 23, 2020
Court upholding $6 million award against Credit Suisse could bolster clawbacks
Jul 23, 2020
Gold's 24% run attracts the attention of younger investors
Jul 23, 2020
Wirehouses race to upgrade adviser tech amid pandemic
Jul 23, 2020
Hybrid managing $160 million switches to LPL from Advisor Group
Jul 23, 2020
Big buildup of savings could rein in rates
Jul 22, 2020
TD's Dani Fava joins Envestnet as Schwab merger looms
Jul 22, 2020
Securities America warns of service slowdown as consolidation begins
Jul 22, 2020
Here's how target-date funds have fared as the market fell, and rose, in 2020
Jul 22, 2020
Koch Industries sued over 401(k) plan fees
Jul 22, 2020
SEC approves rules expected to limit activist investors
Jul 22, 2020
Banks to help consumers buy greener
Jul 22, 2020
Digital asset management platform launches cryptocurrency tool for RIAs
Jul 22, 2020
Growing your business in a virtual world
Jul 22, 2020
House panel looks at COVID-19 impact on Social Security
Jul 22, 2020
Corporate insiders are unloading shares
Jul 21, 2020
401(k) plans – gold mines or land mines?
Jul 21, 2020
Looking out for your Aunt Sally
Jul 21, 2020
ETF market continues searching for the perfect expense ratio
Jul 21, 2020
NASAA study on aging advisers suggests firms consider requiring succession plans
Jul 21, 2020
SEC nominee Crenshaw vows to hold financial firms accountable for mitigating conflicts
Jul 21, 2020
Resources picks up $2B 401(k) consultant
Jul 21, 2020
GPB Capital reports nearly $200 million drop in AUM
Jul 21, 2020
Former eMoney exec tapped to lead Kestra B-D unit
Jul 21, 2020
Wells Fargo hires BNY Mellon executive as CFO
Jul 21, 2020
Five questions wirehouse advisers need to ask themselves
Jul 21, 2020
UBS may resume share buybacks
Jul 20, 2020
UBS slapped with $10 million fine for SEC violations
Jul 20, 2020
SEC charges former Morgan Stanley rep with stealing $6 million from clients
Jul 20, 2020
Diversity Champions
Jul 20, 2020
Outstanding Practices
Jul 20, 2020
Former DOL officials say agency historically grants hearings on regulatory proposals
Jul 20, 2020
Ex-Next Financial rep charged by Galvin with overselling REITs
Jul 20, 2020
Morgan Stanley to report on climate change impact of loans
Jul 20, 2020
ESG, active management poised to gain amid uncertainty
Jul 20, 2020
Biogen faces class action over 401(k) fees
Jul 20, 2020
New York state legislature considers tax on stock trades
Jul 20, 2020
Meager savings led workers to tap retirement accounts, survey finds
Jul 20, 2020
Accounting group offers free PPP loan forgiveness tool
Jul 20, 2020
Hybrid managing $150 million at First Allied moves to LPL
Jul 20, 2020
A closer look at Joe Biden’s tax plan and the potential for a financial transaction tax.
Jul 20, 2020
The latest in financial adviser fintech – July 2020
Jul 20, 2020
New bond ETF offers weekly payouts
Jul 20, 2020
Charitable advisers named finalists in 2020 Invest in Others Awards
Jul 17, 2020
Business continuity planning is top compliance concern for advisory firms
Jul 17, 2020
One year since AssetMark's IPO: A look at the TAMP's growth
Jul 17, 2020
Restoring tax break for advice fees faces challenge in pandemic relief negotiations
Jul 17, 2020
Her Success Matters: Mindy Diamond
Jul 17, 2020
Senate Democrats ask DOL to back off ESG rule
Jul 17, 2020
SEC charges RIA in $60 million Ponzi-like scheme
Jul 17, 2020
Sell baby sell! Merrill Lynch shuts down trainee program
Jul 17, 2020
Make growth of your advisory business a pandemic silver lining
Jul 17, 2020
American Century doubles down on semitransparent ETF lineup with ESG versions
Jul 17, 2020
Financial literacy is important for financial inclusion
Jul 17, 2020
More active ETFs are launching than passive
Jul 16, 2020
Petition against ‘regulation by enforcement’ is a stunning case of industry disdain for rule of law
Jul 16, 2020
The key for advisers still working from home? It's digital
Jul 16, 2020
CFP Board offers remote option for September exams
Jul 16, 2020
Merrill adviser headcount up 2% as trainee hiring resumes
Jul 16, 2020
ESG interest same today in rich families as in the past: Study
Jul 16, 2020
As M&A activity ramps back up, RIAs need to bone up on the details
Jul 16, 2020
How to respond to a long-term care premium hike
Jul 16, 2020
LPL makes annual adviser event virtual
Jul 16, 2020
401(k) sales will continue to fall: Survey
Jul 16, 2020
Morgan Stanley posts record profit
Jul 16, 2020
BlackRock expects bond ETF assets to hit $2 trillion by 2024
Jul 15, 2020
With Democrats gaining steam, financial services ponder potential transaction taxes
Jul 15, 2020
Robinhood to expand offerings after $600 million funding round
Jul 15, 2020
Building a structure for digital success
Jul 15, 2020
Schwab Charitable donors gave record $3.3 billion last year
Jul 15, 2020
Cases tied to Ray Lucia’s challenge of in-house SEC judges likely to settle for lighter punishments
Jul 15, 2020
ETF that paid people to invest has started to charge
Jul 15, 2020
Student loans center of 401(k) perk for Allianz workers
Jul 15, 2020
Four pillars of inspiration for stronger client relationships
Jul 15, 2020
Meet InvestmentNews’ 2020 class of 40 Under 40
Jul 15, 2020
How COVID-19 is altering business trends
Jul 15, 2020
Hybrid managing $300 million moves to LPL from Voya
Jul 15, 2020
Hedge fund manager predicts gold will top $3,000 an ounce
Jul 15, 2020
Equity-like financing for RIAs that don’t want to surrender equity
Jul 14, 2020
Creative Planning acquires $600 million RIA
Jul 14, 2020
401(k) arbitration agreements still not mandatory
Jul 14, 2020
Biden's economic and tax plans draw mixed reviews from advisers
Jul 14, 2020
SEC charges cryptocurrency app Abra with unregistered swap transactions
Jul 14, 2020
Kamila McDonnough elected CFP Board Chair-elect
Jul 14, 2020
Advisers should aspire to the endowment investment model
Jul 14, 2020
Wells Fargo reports drop in advisers, assets for Q2
Jul 14, 2020
Sustainability concerns behind Burger King's new Whopper
Jul 14, 2020
After a choppy start, RIA M&A regains momentum in 2020
Jul 14, 2020
By the Numbers: Learn more about this year's honorees
Jul 14, 2020
Dasarte Yarnway: This year’s youngest 40 Under 40
Jul 13, 2020
Lawmakers press Robinhood about investor protections on trading platform
Jul 13, 2020
Morgan Stanley informs customers of possible data leak
Jul 13, 2020
Robinhood adds another $320 million in funding
Jul 13, 2020
Wells Fargo bans TikTok over cybersecurity concerns
Jul 13, 2020
INmail: Severance pay can temporarily boost Medicare premiums
Jul 13, 2020
RBC recruits duo with $245 million
Jul 13, 2020
New Hampshire investigating churning claims against Merrill brokers
Jul 13, 2020
Wall Street benefits from Fed's support for corporate debt
Jul 13, 2020
PPP loans continue to haunt the wealth management industry, Bruce and Jeff explain why, plus more.
Jul 13, 2020
SEC proposes easing reporting requirements for funds
Jul 12, 2020
‘Lost and found’ 401(k) bill is good for the advice industry
Jul 12, 2020
Maximizing your digital magazine experience
Jul 12, 2020
COVID-19 puts alternatives back in the mainstream
Jul 12, 2020
The big juicy pork chop
Jul 10, 2020
Wawa settles ESOP lawsuit for $21.6 million
Jul 10, 2020
Q&A: iCapital Network’s CEO Lawrence Calcano
Jul 10, 2020
Oklahoma pulls back Form CRS mandate for state-registered advisers
Jul 10, 2020
ETF providers struggle to steer institutional investors away from lower-cost retail funds
Jul 10, 2020
Former RIA execs to pay $200,000 for misleading clients
Jul 10, 2020
Working past 62 improves retirement security: Study
Jul 10, 2020
Advisor Group unveils redesigned UMA platform
Jul 09, 2020
Fidelity drops robo-advice fees for small accounts
Jul 09, 2020
A tale of two PPP loans
Jul 09, 2020
House funding bill would halt SEC proposal to expand access to private markets
Jul 09, 2020
Social distancing weighs on advice business: Survey
Jul 09, 2020
Invesco hitches wagon to Fidelity's semitransparent ETF technology
Jul 09, 2020
Vanguard expands ESG ETF suite to include corporate bonds
Jul 09, 2020
How to draw the line when clients challenge your approach
Jul 09, 2020
Where are the customers’ yachts? 2020 version
Jul 09, 2020
Al Gore: COVID-19 might be jolt needed to redesign global economy
Jul 09, 2020
Richest investors balking at fees
Jul 08, 2020
DOL urged to extend comment period for fiduciary proposal
Jul 08, 2020
CareerBuilder gets win in 401(k) lawsuit, others face new claims
Jul 08, 2020
Charles Schwab rolls out 'Hey, Google' account updates
Jul 08, 2020
Indies managing $245 million switch to Arkadios from Triad
Jul 08, 2020
Finra officials delineate ‘good faith’ efforts to comply with Reg BI
Jul 08, 2020
Mercer notches third acquisition in 5 weeks
Jul 08, 2020
Revamping portfolios with risk-smart, tax-smart building blocks
Jul 08, 2020
Midwest megamerger creates $6.5 billion RIA
Jul 08, 2020
Empower’s Personal Capital acquisition highlights convergence of wealth and retirement
Jul 08, 2020
Long-short hedge fund strategy suffers in current environment
Jul 08, 2020
Adviser managing $370 million moves to RBC from Wells Fargo
Jul 07, 2020
$1.4 billion Morgan Stanley team moves to Insigneo
Jul 07, 2020
The rise of teleadvising
Jul 07, 2020
Want to short high-yield debt? Here's an ETF for you
Jul 07, 2020
Goldman Sachs' Ayco adds 'marketplace' for workplace clients
Jul 07, 2020
Morningstar, Lipper push for better ESG data
Jul 07, 2020
Vanguard surpasses BlackRock in ETF inflows during first half
Jul 07, 2020
State regulators propose model rule for advisers’ written policies, procedures
Jul 07, 2020
Tech tools fall flat among advisers: J.D. Power survey
Jul 07, 2020
GPB takes millions in fed loan money while under investigation
Jul 07, 2020
Sequoia Financial joins the private equity party
Jul 07, 2020
Podcasts and prospecting
Jul 07, 2020
Why 2020 is a bad year to turn 60
Jul 06, 2020
Her Success Matters: Amy Webber
Jul 06, 2020
Franklin Advisers, Franklin Templeton agree to SEC penalties of $325,000
Jul 06, 2020
FiNet team managing $225 million switches to LPL
Jul 06, 2020
'Lost and found' 401(k) bill resurfaces
Jul 06, 2020
Investors move from junk-bond funds into Treasury funds
Jul 06, 2020
T. Rowe Price finds a path to the ETF market
Jul 06, 2020
The practice of the future
Jul 06, 2020
Second-quarter earnings pose a challenge
Jul 06, 2020
The new reality of Reg BI and why brokers and advisers will continue to butt heads. Plus, breakaway brokers, Fed commissions, and what’s up with PR embargoes?
Jul 06, 2020
SEC rule resets regulatory landscape
Jul 06, 2020
Increase in liquidity should lift stocks and bonds: JPMorgan
Jul 03, 2020
Will ESG be allowed in 401(k) plans?
Jul 02, 2020
All-female team managing $500 million drops Morgan Stanley for Sanctuary Wealth
Jul 02, 2020
401(k) lawsuit costs Fidelity $28.5 million
Jul 02, 2020
Long-term care a big question in pandemic
Jul 02, 2020
Perpetual closes acquisition of $3.3 billion ESG investor Trillium
Jul 02, 2020
COVID-19 tamps down pace of RIA consolidation
Jul 02, 2020
Second Wealth/Stack conference postponed a year
Jul 01, 2020
Abandoning alts is shortsighted
Jul 01, 2020
Vanguard, State Street resist the new ETF craze
Jul 01, 2020
State regulators propose restitution assistance for harmed investors
Jul 01, 2020
401(k) suits target Trader Joe's, Costco, others
Jul 01, 2020
Model portfolio assets dropped to $3 trillion in first quarter
Jul 01, 2020
Finra reports 10% rise in 2019 compensation
Jul 01, 2020
Mercer acquires $554 million RIA
Jul 01, 2020
TD Ameritrade says brokers are running out of reasons not to go independent
Jul 01, 2020
Court orders RIA firm and founder to pay more than $2 million
Jul 01, 2020
Edward Jones files to create bank
Jul 01, 2020
Vermont hybrid managing $210 million links to LPL
Jul 01, 2020
Stock rally is sending investors back into hedge funds
Jul 01, 2020
Gold market focuses on yield curve control
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