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As Barbara Roper, director of investor protection for the
Of all of the new rules that the SEC has imposed on mutual funds, perhaps the most controversial is the one requiring the chairmen of fund boards to be independent from the funds investment advisor. This will require a major overhaul at thousands of funds, requiring about 80% of them, or 3,700 funds, to replace their chairmen.
Here's how commenters such as the AARP, SIFMA, FSI, the Consumer Federation, NAPFA, the CFP Board and others view the Department of Labor's retirement advice regulation.
In the first three months of 2024, both profits and client assets reached new heights at RayJay's Private Client Group.
Last year, almost $1 trillion flooded into money market funds. Here are the 20 that have grown the biggest.
Amid a busy April for big hires, compliance tech provider COMPLY and wealthtech platform TIFIN have brought on industry vets Michael Stanton and Jeannette Kuda, respectively, aiming for strategic growth.
Turns out clients are as mistaken about tax preparers as they are about taxes.
