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PALM DESERT, Calif. -- Norm Champ, director of the Securities and Exchange Commission’s Division of Investment Management, today took the first steps in meeting and speaking to members of the Investment Company Institute.

A managing director of Charles Schwab Investment Management said the money market mutual fund industry has ‘nothing to hide’ about the value of its assets. Floating the stated value of each share of a fund, however, would result in “a lot of imposed inconvenience.’’

Through less promotional posts, advisors may be able to avoid the red tape.

Wealth is shifting to new demographic groups, requiring advisors to re-evaluate their approach to client engagement. Here, we explore the key business factors driving the urgency behind advisors’ need to focus on women.

Two-thirds of active U.S. equity assets are managed by defined contribution investment only managers, says a new joint report from FUSE Research Network and BrightScope.

Company A last year pumped up its revenues by 44.6%-from a base of $108.2 billion.

The Certified Financial Planner Board of Standards, Inc. has added two newly created positions.

The Two Roads Shared Trust is prepping a managed futures offering to launch within the next few months.

Federal regulators would “like to codify exemptive relief” from provisions of the Investment Company Act of 1940, so they can focus on more innovative fund applications.

Putnam Investments expects investors to continue prioritizing risk mitigation and income generation in the current investing environment.

PALM DESERT, Calif – Is the Financial Stability Oversight Council out to undermine the Securities and Exchange Commission’s “role, independence, and democratic process”?

Let your social media actions adhere to the Golden Rule. Seek out ways to be helpful, says Joanna Belbey, social media and compliance specialist for compliance technology firm Actiance.

Norm Champ, the director of the SEC’s Division of Investment Management, said the regulator will be asking “tough questions” of fund directors. A key focus: Are fund directors stretched too thinly, overseeing too many funds?

The general counsel for the advocacy group that represents the investment fund industry said Monday that financial transaction taxes harm investors, retirement savers, market operations, economic growth and investment returns.

The trade group will open an office in the center of finance and international business to gather “real-time information” about Asian markets.

Neuberger Berman Group has announced it will begin offering a zero-sales-charge share class.

Wells Fargo has hired 17 advisors to its standalone branches and added nine advisors to its independent brokerage business, Financial Network.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

LinkedIn is a powerful tool for advisors to connect with potential clients, but it should be used with careful diligence. Failure to do so could result in ineffective platform execution, or even worse – a breach in compliance.

If approved by stockholders in LPL’s annual meeting in May, Mulcahy will also serve on the Board’s Audit Committee.