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Sen. Patty Murray recently requested a session on DOL’s investment advice measure
The post Former DOL officials say agency historically grants hearings on regulatory proposals appeared first on InvestmentNews.
Ross promises to use 'dope graphics' and jargon-free language in a video series he hopes will be integrated into classroom curricula across the country.
The Secretary of the Commonwealth of Massachusetts takes another swipe at sales of high-priced products
The post Ex-Next Financial rep charged by Galvin with overselling REITs appeared first on InvestmentNews.
The new hire joins a fast-growing complex in Northern California.
The bank will also help develop a global accounting standard financial institutions can use to measure their impact on the climate
The post Morgan Stanley to report on climate change impact of loans appeared first on InvestmentNews.
A lawsuit will turn on whether UBS can demonstrate that Alexandra Van Meurs violated contract agreements when she and her team jumped to Morgan Stanley.
The list shows how firms of all sizes face a pivotal balancing act in seeking to recruit and retain advisors.
A survey of advisers' expectations for the next 12 months shows the only consensus is that there's a rocky road ahead
The post ESG, active management poised to gain amid uncertainty appeared first on InvestmentNews.
The company is among the latest targeted in a wave of ERISA litigation this year
The post Biogen faces class action over 401(k) fees appeared first on InvestmentNews.
The Massachusetts commonwealth secretary’s Securities Division charged former NEXT Financial Group representative Charles Kulch with stuffing client accounts full of the high-risk, high-commission investments.
The pandemic has left the state facing a projected four-year deficit of $61 billion
The post New York state legislature considers tax on stock trades appeared first on InvestmentNews.
COVID-19 could have long-term consequences for Americans' retirement security, says the Secure Retirement Institute
The post Meager savings led workers to tap retirement accounts, survey finds appeared first on InvestmentNews.
A hybrid examination would a viable, if temporary, approach to comply with regulations while protecting the health and safety of examiners, branch employees and advisors.
“They’re now realizing: Let’s actually get the contingency plan in place,” said Dominic Volek, head of sales at Henley & Partners, the world’s biggest citizenship and residency advisory firm.
Applicants who received funds can fill out forms on the AICPA site
The post Accounting group offers free PPP loan forgiveness tool appeared first on InvestmentNews.
Staples Financial, based in Inver Heights, Minnesota, is led by the son of its founder
The post Hybrid managing $150 million at First Allied moves to LPL appeared first on InvestmentNews.
The widespread popularity of the compensation descriptor, long ballyhooed by RIAs, ultimately proved problematic for the CFP Board which has updated its standards.
Advisors Larry Durso, his son Michael and Michael Lombardi have partnered with Dynasty Financial Partners to launch their own RIA.
Recovery paths and impact on performance.
Fables of the Reconstruction
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