"We want to determine how to improve disclosure to investors and find better ways to provide them with valuable information," said John Gannon, vice president of investor education at the NASD.
"The industry must fund education messages, so I think its a very positive thing," said Michelle Smith, managing director of the
NASD conducted a survey of investors last year and found that young investors and women need financial education most.
Despite ongoing concerns over geopolitics and more, many advisors said they would increase allocations to foreign equities over the next few months.
Michael Outlaw, the recently named president of Rockefeller Global Family Office, says family offices are defined more by the services they offer than by their relationships with wealthy families.
The partnership between the long-established bank and the fintech brokerage will handle the development of the government-owned account platform behind the new government-seeded retirement accounts for children.
FINRA and consumer advocates are raising alarms about online scams that are driving fraud losses into the hundreds of billions of dollars.
The Trump DOL has said it "has no current plans" for further rulemaking, but that contradicts its own notice of potential regulation last year.
The 10 states that offer the best return for residents' tax dollars.
