Glassman also referred to two attacks on the new rule that, while unlikely, could, on an outside chance, force the SEC to overturn its decision. "This debate is not over she said," referring to a lawsuit that the
Glassman and one other SEC governor voted against the new independent chairman rule, which is set to take effect Jan. 16, 2006, but SEC Chairman and two other members of the Commission outnumbered her.
Investor advocates think the money should instead go to clients who haven't been paid outstanding arbitration awards.
Following similar glitches at Lloyds and the London Metal Exchange, a tech outage at UBS has renewed scrutiny on modern banking platforms.
Not all tech integrations are created equally. Industry experts discussed what advisors should focus on when evaluating potential additions to their tech stacks.
The Biden Administration rule for a fiduciary standard on one-time retirement-related advice died in two separate court decisions.
Considered a report card on client satisfaction across both advised and DIY customers, the latest JD Power survey points to the growing power of technology to capture new business.
A new annual compensation report by consulting firm Succession Resource Group explains how pay plans can boost — or detract from — the value of an RIA.
