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Portfolio
Does the SEC's best interest proposal move beyond the status quo?
Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.
Fiduciary rule's demise prompts Merrill to review commission policy
The move is an early indication of how firms may react to the demise of the Labor Department regulation.
Does the SEC’s share-class crackdown apply to registered reps?
Advisors who should self-report a violation — but don’t — could face enforcement actions.
Sponsored by Commonwealth Financial Network
Buying bonds: Are ETFs or mutual funds the better bet?
As interest rates rise, should advisors' thinking change?
Sponsored by Fidelity
Rapid ETF market expansion does not come without risks
The funds have the potential to distort stock prices and to inspire a large-scale market sell-off.
Ex-Morgan Stanley and JAForlines execs launch firm: News Scan
TPW Investment Management aims to provide alpha-generating ETF-based investment solutions.
How the rich really feel about their wealth
Peace of mind, a comfortable life, happiness and gratitude are top wealth motivators, according to a new survey.
Barred broker gambled $400K at casino in elder fraud scheme, SEC says
The regulator obtained an emergency asset freeze against the advisor.
BNY Mellon ditches 80 products in lineup revamp
The bank has replaced dozens of high-cost offerings with more passive and enhanced actively managed products.
How advisors can tap into the growing $23T ESG market
Morningstar has launched a variety of tools aimed at helping planners and their clients adjust to what the CEO refers to as “the new normal.”
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