Organization Root Tag

From Roth conversions to QHFDs: The coronavirus pandemic is forcing difficult questions, and clients rightfully are looking for answers that advisors are uniquely suited to provide.

Overuse of “may” instead of “will” and gauzy formulations in disclosures won’t cut it despite the halt to in-person exams, an SEC official says.

The boost in accounts has helped compensate for withdrawals by investors who need cash.

Peg Broadbent's death struck a chord on Wall Street, where thousands of traders deemed essential are still heading into work every day as the pandemic ravages New York City.

Ratings agencies predict major losses for all of the largest BDs, prompting firms to reassess strategies in uncertain times.

Nearly all of your efforts should revolve around your website, showing who you are and why your firm is different, says marketing expert Dan Sondhelm.

The Internal Revenue Service is postponing the date for filing gift tax and generation-skipping transfer tax returns and making payments until July 15 because of the novel coronavirus pandemic.

The major issuers of leveraged products, which trade under the ProShares and Direxion trademarks, have each posted inflows of over $2.8 billion this month.

The central bank’s pledge to buy investment-grade credit and certain funds helped spark a rally in higher-rated debt.

The Justice Department’s antitrust division has signed off on the takeover without requiring any changes, according to a person familiar with the matter.

The rout in Asian equity markets this year has not been for the faint-hearted.

The manager may collect over $4 million per year for managing a separate portfolio of commercial mortgage-backed securities issued by government agencies.

Asset managers may need to reassess the assumption that’s become widely held in recent years: that inflation is dead.

No online lenders are approved for the agency's traditional programs, but they could make loans under the COVID-19 stimulus package if they get special approval.

“Recent further Fed action from COVID-19 seems to put another layer on a near-40-year bond bull market,” an expert says.

The problem was from a bug related to an external software provider.

The relief allows funds to obtain cash infusions through collateralized loans until the end of June.

The perennial contender won the top spot in J.D. Power’s annual survey as the coronavirus makes brand and advisor trust even more important to the industry.

Only a firm “actively swindling funds” would trigger an onsite visit, according to Peter Driscoll.

The firm, which already closed 260 branches, now has 100% of its staff operating virtually.