SEC Readying To Hammer BDs And RIAs Over COVID19 Compliance Risks
The SEC issued an alert to BDs and RIAs regarding its concerns over activities in the industry concerning the challenges encountered by COVID-19.
Recent
Now At $1 Trillion AUM, Vanguard Total Stock Market Index Is The Biggest Fund Ever
Vanguard’s Total Stock Market Index strategy crossed the $1-trillion-AUM line yesterday.
Survey: One-Third Of Advisors Will Not Recommend Annuities
The primary reasons for advisors not recommending annuities come down to value, lack of liquidity or complexity.
Working Late Is Killing You, Literally
According to a new scientific study, there’s an association between long working hours and strokes.
Most RIAs are growing through the pandemic: TD study
A new TD Ameritrade Instiutional study shows a plurality of advisors are reporting that business is better than it was six months ago.
How Robo Platforms Transform Traditional Advisory Business
Financial advisors are increasingly turning to robo advisors, technology platforms that not so long ago were viewed as fierce competition.
E*TRADE Advisor Services Study Reveals RIAs Enter Bearish Territory
E*TRADE has announced results from the most recent wave of its Independent Advisor Tracking study.
