Experts weighing in included Rajib Chanda, a partner at Ropes & Gray LLP, FINRA vice president Thomas A. Pappas, Fidelity Investments associate general counsel Alexander C. Gavis, data storage consultant Mark Diamond, and U.S. Global Investors president Susan B. McGee.
The SEC opened public comment on Regulation E-Delivery, a proposal that would replace its decades-old guidance-based framework and make electronic delivery the default for required investor disclosures.
Pat Brown of Creative Planning and Financial Literacy for Student Athletes is pitting competitive players against each other as part of his new "Athlete Finance League."
A Deloitte analysis shows that alternative allocations — to private equity, private credit and other vehicles — in DC plans could grow quickly.
Six advisors reflect on what they wish they'd known earlier — from speaking up sooner to thinking longer term to learning that the best question beats the best answer.
SEI may not be the first firm that comes to mind when thinking about the industry's custodians, but the firm has built a substantial client base of financial advisors over more than 30 years.
Schwab directly or indirectly manages only 2% of the $37 trillion in U.S. wealth that could be in the hands of advisors, according to CEO Rick Wurster. The size of the opportunity means there is no need to compete with the firm's RIA clients.
