NewRiver Investor Communications of Watertown, Mass., has developed Prospectus Express, patent-pending software that would allow mutual fund companies to post prospectuses and other lengthy fund documents in a format that would allow investors to immediately view and retrieve those documents. Other prospectus software allows users to print out documents but not view them online. Prospectus Express also enables users to search within documents for keywords. Currently, that is not possible through the SEC's Edgar database.
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The SEC is now focused on "quality of cases versus quantity," the SEC chairman said during a discussion held as part of the 2026 FINRA Annual Conference.
May 15 -
Oppenheimer said it had calculated its potential liability in its cash sweeps lawsuit at more than $440 million. Rather than face a jury, it's settling the class action lawsuit.
May 15 -
Financial advisors considering a career move may not need a recruiter, but the right one can open doors to more firms, negotiate compensation and help manage the transition.
May 15 -
Financial planning can be complex to regular investors. Advisors shared the analogies and stories that bring ideas into focus with clients and prospects.
May 15 -
At their institutional investor day, Charles Schwab executives say they see a huge opportunity in arranging securities-backed loans for firms in its RIA network.
May 14 -
Financial planners and organic growth experts understand why some may hesitate to start posting videos. But the benefits far outweigh any risk of embarrassment.
May 14









