Advisor Texting, Likely DOL Fiduciary Rule in Focus This Year
The Securities and Exchange Commission’s regulatory agenda “shows no signs of letting up,” with several rules that “advisors should pay...
life insurance
Ex-Broker Convicted of Aiding ISIS
What You Need to Know A former Brooklyn resident found guilty of aiding ISIS worked as a broker for Great...
10 NFL Players Who Tackled Investing
6. Glover Quin Jr. Quin, a former NFL safety with the Houston Texans and the Detroit Lions, was able to...
Lincoln Financial to Tilt Away From Some Term Life Products
What You Need to Know Lincoln reported a profit for the latest quarter. It is not happy with the more...
SEC, FINRA Priorities: 7 Steps to Stay Compliant
Start Slideshow Some eight weeks into 2023, both the Securities and Exchange Commission and the Financial Industry Regulatory Authority have...
Are You Playing It Too Safe With Clients' Investments?
What You Need to Know A new academic analysis suggests advisors tend to incorporate a sizable “safety buffer” in client...
Why Regulation Best Execution Makes Payment for Order Flow Difficult: SEC Roundup
Welcome to SEC Roundup, a bimonthly video series by Paul Hastings partners and former Securities and Exchange Commission senior trial counsels Nick...
12 'Super' Stats for Super Bowl LVII
Start Slideshow You don’t have to be a football fan to know that one of the biggest sporting events in...
12 Federal Budget Cut Ideas That Could Hit Retirement Savers Hard
Start Slideshow The State of the Union address is over, the Biden administration is developing its budget proposal for 2024,...
Vanguard's One-of-a-Kind Fund Design Is About to Get Some Competition
Technically, the ETF-within-a-mutual-fund structure has always available for other issuers — provided they agreed a licensing arrangement with Vanguard alongside...
