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Site Map for December 2020
Date
Title
Dec 31, 2020
Finra smacks small B-D with $1.55 million penalty for churning
Dec 31, 2020
Mapping your firm's future
Dec 30, 2020
Finra obtains $2.7 million in restitution related to 529 share-class initiative
Dec 30, 2020
How IN's new fintech reporter tackled the beat — virtually
Dec 28, 2020
Vanguard wins ETF flow war as State Street loses ground
Dec 28, 2020
Automation can elevate the client experience
Dec 25, 2020
Bitcoin: Enigma no more
Dec 24, 2020
Financial wellness is winning 401(k) plan business
Dec 24, 2020
Workplace wellness: getting physical and fiscal
Dec 23, 2020
Clayton says he will exit SEC Dec. 23
Dec 23, 2020
Advice firms ‘champing at the bit’ over new advertising rule
Dec 23, 2020
COVID-19 relief bill gives employers tax credits for student loan help
Dec 23, 2020
Ex-insurance agent at heart of alleged $2.5 million fraud
Dec 23, 2020
Fourth quarter saw a record 69 RIA deals, Echelon says
Dec 23, 2020
Finra licensing policy puts women at a disadvantage amid COVID
Dec 23, 2020
Dalia Blass to exit as SEC investment management chief in January
Dec 23, 2020
Broker-dealers on getting annuities into 401(k) plans
Dec 23, 2020
UBS board considers impact of ING probe on new CEO
Dec 23, 2020
SEC’s amped-up oversight of complex financial products expected to continue under Biden
Dec 22, 2020
Ripple Labs, executives sued by SEC for failing to register XRP
Dec 22, 2020
SEC approves rule to allow testimonials in advertising
Dec 22, 2020
Goldman Sachs primed to launch new robo-adviser Marcus Invest
Dec 22, 2020
‘Adoption is the next innovation’: Forecasting fintech in 2021 and beyond
Dec 22, 2020
COVID relief bill could help some small-business 401(k)s
Dec 22, 2020
IN Podcast: Ariel Alternatives seeks to close the racial wealth gap, plus a dive into HSAs
Dec 22, 2020
ICI says e-delivery of fund documents should be made easier
Dec 22, 2020
Scaramucci to launch SkyBridge Bitcoin fund
Dec 22, 2020
Invesco debuts four nontransparent ETFs
Dec 22, 2020
SEC slams Voya Financial with $23 million penalty for conflicts at RIA
Dec 22, 2020
Wells Fargo to sell student loan book to Apollo, Blackstone
Dec 21, 2020
401(k) record keepers bullish on post-COVID opportunities
Dec 21, 2020
2020: The year Wall Street lost the wealth management race
Dec 21, 2020
Not even a global pandemic could derail RIA M&A momentum
Dec 21, 2020
SEC warns of tougher Reg BI exams next year
Dec 21, 2020
Why some 401(k)s seldom change providers
Dec 21, 2020
Congress reaches deal on $900 billion pandemic relief plan
Dec 21, 2020
Bill seeks to open multiple-employer plans to 403(b)s
Dec 21, 2020
Finra hits Transamerica with $8.8 million sanction
Dec 21, 2020
Brokers, tell the B-D when selling cannabis investments
Dec 21, 2020
INmail: When lump-sum payouts make sense
Dec 21, 2020
Black, Latina women more confident investors despite hurdles: J.P. Morgan
Dec 21, 2020
J.P. Morgan rep managing $425 million joins LPL indie group
Dec 21, 2020
Yellen pressed to back strong dollar in reverse of Trump-era tone
Dec 21, 2020
"A lot of dialogue is going to turn into action." A 2020 review and look ahead
Dec 21, 2020
Europe continues to outshine US in ESG investing
Dec 21, 2020
Why ESG will be even harder to ignore in 2021
Dec 21, 2020
State fiduciary rules slow down amid pandemic, political transition
Dec 21, 2020
Trump administration pushes regulations across finish line in waning days
Dec 21, 2020
Darlings of 2020, ETFs expected to carry momentum into 2021
Dec 21, 2020
A watershed year for wealthtech adoption
Dec 19, 2020
RBC's Women's Association celebrates 30th anniversary
Dec 18, 2020
Why a new Betterment chief could usher in an IPO
Dec 18, 2020
The latest in financial #AdviserTech — December 2020
Dec 18, 2020
Robinhood under pressure for bringing ‘gamification’ to investing
Dec 18, 2020
What advisers need to know about the new DOL rule
Dec 18, 2020
What Tesla's entry into the S&P 500 means for portfolios
Dec 18, 2020
Merrill Lynch duo managing $200 million joins indie team
Dec 18, 2020
Carbon offsets not helping climate if they aren't sparking change
Dec 18, 2020
Robinhood isn't gamifying the markets. It's democratizing them
Dec 18, 2020
Citadel trading chief says Tesla poses risk to other S&P 500 stocks
Dec 18, 2020
BlackRock sees 'advantageous' trade in dividend stocks next year
Dec 17, 2020
Finra slams Cetera with $1 million fine over RIA supervision
Dec 17, 2020
Robinhood case to test Massachusetts fiduciary rule
Dec 17, 2020
Raymond James buys another boutique investment bank
Dec 17, 2020
Workplace retirement plans saw 12.9% average savings rate in 2019
Dec 17, 2020
Morgan Stanley duo managing $150 million goes indie with LPL
Dec 17, 2020
Miracle Mile sells minority stake to Merchant Investment Management
Dec 17, 2020
Robinhood to pay $65 million to end SEC probe into stock orders
Dec 17, 2020
Bitcoin breaks above $23,000 as Wall Street firms pile in
Dec 17, 2020
DC aggregators are key to retirement system's success
Dec 17, 2020
3 steps to leverage year-end planning and kick-start 2021
Dec 16, 2020
Morgan Stanley rep managing $658 million moves to Alex. Brown
Dec 16, 2020
RPA Special Edition Part 2 - Introducing the Chief Governance Officer role
Dec 16, 2020
Morgan Stanley leaves pay plan mostly intact for 2021
Dec 16, 2020
Credit card debt being used for gifts, hurting retirement
Dec 16, 2020
LPL offers stay bonuses to Waddell & Reed advisers
Dec 16, 2020
Adviser managing $186 million moves to Voya from Lincoln
Dec 16, 2020
Social Security lump sum rules and strategies
Dec 16, 2020
Rick Ferri on fees, Jason Kane on class-action suit against GPB
Dec 16, 2020
Breaking away from a brokerage during a pandemic is hard ... but rewarding
Dec 16, 2020
Robinhood accused of manipulating customers by Massachusetts regulator
Dec 16, 2020
CFP Board launches redesigned consumer website
Dec 16, 2020
Vanguard makes history with first $1 trillion equity fund
Dec 16, 2020
How the pandemic moved us out of the newsroom and turned everyone into a bureau chief
Dec 15, 2020
DOL may be too late with final fiduciary rule
Dec 15, 2020
Morningstar and iShares team to revamp indexes
Dec 15, 2020
New York unit of Hightower merges with $280 million firm
Dec 15, 2020
UBS snags $9 billion team from J.P. Morgan Private Bank
Dec 15, 2020
Morgan Stanley loses appeal of $3.3 million award
Dec 15, 2020
Tips for guarding your devices from cyberattacks
Dec 15, 2020
Franklin Templeton partners to launch new robo-adviser Tango
Dec 15, 2020
Prep your firm for sale, even if you don't plan to sell
Dec 15, 2020
Cerity acquires two RIAs managing $372 million
Dec 15, 2020
Ameriprise, CI eyeing Wells Fargo asset management unit
Dec 14, 2020
House lawmakers introduce legislation to promote sustainable investing
Dec 14, 2020
Transamerica to halt sales of VAs with guarantees, fixed annuities
Dec 14, 2020
INmail: Is your clients’ MAGI information up to date?
Dec 14, 2020
MassMutual to buy cash management platform Flourish
Dec 14, 2020
UBS team managing $4.8 billion launches RIA
Dec 14, 2020
Wells Fargo duo managing $215 million goes indie with LPL
Dec 14, 2020
"FPA must become more relevant to financial planners at every stage of their careers."
Dec 14, 2020
A stock trader's guide to the global COVID-19 vaccine rollout
Dec 14, 2020
Wrap up, rest and reset: Getting ready for 2021
Dec 14, 2020
Advisers must examine college savings strategies to get clients to their goals
Dec 14, 2020
How is your team doing?
Dec 14, 2020
RIAs see business go south
Dec 11, 2020
DOL limits retirement-plan proxy votes to those affecting financial returns
Dec 11, 2020
Diversity, equity and inclusion: Why I care
Dec 11, 2020
Advisers should use 2020 lessons to grow firms next year
Dec 11, 2020
State Street looking at options for asset management unit
Dec 11, 2020
Adviser moves are hopping as 2020 — finally — comes to a close
Dec 11, 2020
Spouting Rock quadruples AUM with Penn Capital acquisition
Dec 11, 2020
Keeping clients' retirement plans on track amid uncertainty
Dec 10, 2020
SEC member Crenshaw says agency should provide guidance on Reg BI
Dec 10, 2020
How much are nontraded REITs really worth?
Dec 10, 2020
SEC enforcement chief Stephanie Avakian leaving
Dec 10, 2020
Lawmakers want SEC to clarify how brokers can hold digital securities
Dec 10, 2020
Tony Leal, Envestnet | MoneyGuide
Dec 10, 2020
Wells Fargo reps to jump higher 'hurdle' in 2021 pay grid
Dec 10, 2020
Tax considerations going into year-end
Dec 10, 2020
Raymond James buys 401(k) plan provider NWPS
Dec 10, 2020
Indie managing $122 million switches to Cetera from LPL
Dec 10, 2020
JPMorgan enters green ETF arena with carbon fund
Dec 09, 2020
New York pension fund pledges net-zero emissions by 2040
Dec 09, 2020
Vestwell, Envestnet partner to create turnkey retirement plans
Dec 09, 2020
Broker-dealers at convergence of wealth and retirement
Dec 09, 2020
Social Security expert follows her own advice
Dec 09, 2020
More than two-thirds of Americans faced financial setbacks in 2020: Fidelity
Dec 09, 2020
Retirement savings legislation can overcome gridlock, lawmaker says
Dec 09, 2020
Ray Dalio sees ‘flood of money’ with soaring asset prices
Dec 09, 2020
BNY Mellon names head of global family office
Dec 09, 2020
Paychex to offer pooled employer plan
Dec 09, 2020
Dimon asks bankers for M&A ideas
Dec 09, 2020
Fidelity had 'locker room' culture, suit says
Dec 09, 2020
Wells Fargo rep managing $120 million goes indie with LPL
Dec 09, 2020
Innovation awards highlight Envestnet's Bergman and reveal six firm winners
Dec 08, 2020
Crisis always creates opportunities
Dec 08, 2020
The real problem behind the Oranj business model
Dec 08, 2020
Allworth Financial to acquire $270 million RIA
Dec 08, 2020
Kestra unit acquires $500 million RIA
Dec 08, 2020
Wells Fargo encouraging risk-on investing in 2021
Dec 08, 2020
Betterment’s Jon Stein steps down as CEO
Dec 08, 2020
401(k) lawsuits explode in 2020
Dec 08, 2020
SIFMA wants new SEC to give Reg BI time to work
Dec 08, 2020
Model portfolio assets hit $4.1 trillion in Q3
Dec 08, 2020
‘Moneymaking and money losing.’ Amid fallout from GameStop, what will regulators do?
Dec 08, 2020
Bob Dylan's tax planning could be tangled up in ... green?
Dec 08, 2020
Vanguard makes rare retreat as price war starts to take toll
Dec 08, 2020
Protecting independent contractor status for advisers
Dec 07, 2020
Student loan borrowers worse off now than in the spring, survey finds
Dec 07, 2020
My thank you letter to 2020
Dec 07, 2020
Advisor Group still facing hurdles on debt: Fitch Ratings
Dec 07, 2020
‘Stretching’ those education dollars
Dec 07, 2020
FPA appoints interim chief Patrick Mahoney as CEO
Dec 07, 2020
LPL nabs $900 million hybrid team from Cambridge
Dec 07, 2020
401(k)s warming to rainy day savings, student loan features
Dec 07, 2020
Maxine Waters urges Biden administration to overturn Reg BI
Dec 07, 2020
Merrill Lynch hit with record $26 million action over broker churning
Dec 07, 2020
INmail: Don’t wait beyond 70 to claim Social Security
Dec 07, 2020
Portfolio makeovers with Morningstar's Christine Benz plus a peek behind the scenes of the ESG Film Festival
Dec 07, 2020
Deutsche Bank ties executive compensation to ESG goals
Dec 07, 2020
JPMorgan warns of crowded trades amid markets’ ‘clear consensus’
Dec 07, 2020
CITs are sweeping through the retail 401(k) market
Dec 07, 2020
How advisers are helping clients rethink their kids’ college experience
Dec 07, 2020
End the confusing muddle of advice standards
Dec 07, 2020
5 silver linings to be thankful for in 2020
Dec 07, 2020
Looking ahead to the next normal
Dec 07, 2020
Why funds must offer advice in 401(k) space
Dec 04, 2020
Two more big 401(k) lawsuits filed, one dismissed
Dec 04, 2020
FinHub becomes a separate SEC department
Dec 04, 2020
Aon to kick off pooled employer plan in January
Dec 04, 2020
Merrill Lynch keeps grid intact, cuts pay on small accounts
Dec 04, 2020
Goldman Sachs underscores focus on RIAs with sale of Folio retail unit
Dec 04, 2020
7 reasons RIAs are adding insurance products
Dec 04, 2020
3 hires that help RIA firms enter the elite
Dec 03, 2020
Boston FiNet team managing $3.75 billion becomes RIA
Dec 03, 2020
Hightower lands additional funding from Thomas H. Lee Partners
Dec 03, 2020
Clients’ charitable interests provide openings for ESG conversations
Dec 03, 2020
Advisers are adopting fee-for-planning models — and charging accordingly
Dec 03, 2020
ESG pioneer tells financial advisers to get on the bandwagon
Dec 03, 2020
'Booyah!' LPL scores win with Waddell & Reed deal, analysts say
Dec 03, 2020
Americans experiencing high levels of financial stress, CFP Board finds
Dec 03, 2020
Guess what? Most Vanguard investors are Steady Eddies
Dec 03, 2020
Debut ETF issuers hit record this year
Dec 03, 2020
Think digital: Upgrading the client experience in 2021
Dec 03, 2020
RPA Special Edition Part 1 - The Hot RPA M&A market
Dec 03, 2020
Year in review: Pandemic edition
Dec 03, 2020
Another election, another change in investment advice regulation
Dec 02, 2020
CIOs live in a world of nonstandard data
Dec 02, 2020
J.P. Morgan Asset Management to acquire fintech 55ip
Dec 02, 2020
LPL to scoop up 900 Waddell & Reed advisers in latest deal
Dec 02, 2020
The $6.5 billion market most RPAs ignore: Government plans
Dec 02, 2020
Fund sponsor M&A makes retirement CIO jobs more complicated
Dec 02, 2020
Two top B-D executives behind SPACs to buy RIAs and fintechs
Dec 02, 2020
Fund companies see target-dates adding annuities in future: Report
Dec 02, 2020
FMG Suite acquires digital marketer Twenty Over Ten
Dec 02, 2020
Record-shattering flows into stock ETFs leave bond funds in dust
Dec 02, 2020
Two big Seattle RIAs merge
Dec 02, 2020
Spike in Treasury yields risks sparking domino effect
Dec 02, 2020
SEC charges boiler room operator with $2.1 million fraud
Dec 01, 2020
Companies that support LGBTQ-inclusive policies outperform: Credit Suisse
Dec 01, 2020
Don’t just sort of retire
Dec 01, 2020
Focus Financial firm to acquire $723 million RIA
Dec 01, 2020
Financial advisers navigate the uncertainty of Biden's impact on markets, economy
Dec 01, 2020
Advisers welcome additional educational requirements
Dec 01, 2020
Thomas Sporkin tapped by CFP Board to head enforcement
Dec 01, 2020
Retirement savings for the suddenly self-employed
Dec 01, 2020
Finra slaps reps who carried client information out the door
Dec 01, 2020
Focus Financial takes stake in $682 million RIA
Dec 01, 2020
Hottest debate on Wall Street is Bitcoin versus gold
Dec 01, 2020
Nasdaq plans to require more diversity on listed company boards
Dec 01, 2020
A Financial Planning Focus on Millennial Women
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