In|Vest West 2018 Direct

The regulator says it eliminated the need for providers to seek a special order from the agency before funds can be sold to investors.

PJ Patel is co-CEO of Valuation Research Corporation and can be reached at ppatel@valuationresearch.com or (609) 243-7030.

Under the proposed structure, the funds will conceal a portion of their assets and instead publish a list of securities that’s highly correlated to the performance of the portfolio.

Pre-retirees expect their annual health-related expenses to top $7,000 once retired, however the actual cost can be much more.

Triad Hybrid Solutions has added 31 advisors and $1.3 billion in AUM since the beginning of last year.

CEO James Poer seeks a different approach from rivals under the IBD’s new ownership.

The potential move would follow Vanguard's pilot run of a new digital-only platform tailored to retail clients.

Deviation from the broader market has left more than half of these products with losses during a time the Dow and S&P 500 each posted double-digit gains.

Wes Bricker is vice chair and U.S. Trust Solutions co-leader at PwC US. He previously served as the Securities and Exchange Commission’s chief accountant beginning in 2016. He returned to PwC in July 2019, where he previously served clients in the banking, capital markets, financial technology, and investment management sectors, and served as a member of the firm's National Quality Organization. His responsibilities in his current role at PwC encompass audit quality, business development and portfolio strategy, human capital, diversity, innovation and technology.

Cathy Rowe, CPA, CA, is director of technology product management for audit solutions at Wolters Kluwer.