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When FINRA boss Richard Ketchum suggested the group was pulling back from its effort to regulate RIAs, advisors cheered -- but some observers worried the story isn't over. On Twitter, Investment Advisor Alliance said: 'Pressure is off for now. But what happens when Congress is once again more favorable to FINRA's goal?'
March 1
Financial Planning -
While U.S. investors remained net purchasers of mutual fund assets for the week ended Feb. 27, political uncertainty seems to have shaken them somewhat.
March 1 -
Are active exchange-traded funds just a gimmick? And is there a resolution in sight for any potential further reform of the money market mutual fund industry?
March 1 -
New York Life, the parent company of Mainstay Investments, has hired Don Desiderato as senior managing director and chief technology officer.
March 1 -
LPL is making big changes among its top executives.
March 1 -
ALPS has launched the U.S. Equity High Volatility Put Write Index Fund (HVPW), which tracks the NYSE Arca U.S. Equity High Volatility Put Write Index.
March 1 -
Investors in Los Angelesbased FPA funds will be glad to hear that effective April 1, all of the FPA Funds will be available as no-load funds.
March 1 -
The $825 million community bank has selected Infinex Financial Group as its new broker dealer.
March 1 -
When it comes to policing the way brokerages and advisors market themselves, the Financial Industry Regulatory Authority has turned into RoboCop.
March 1 -
The battle over the estate of the Godfather of Soul started not long after James Brown died in 2006. Now, the South Carolina Supreme Court issued a landmark ruling that may finally lay the epic feud to rest, and could establish an interested precedent for your clients.
March 1
