FINRA Issues Guidance, Seeks Comment on High-Risk Brokers
By Melanie WaddellThe regulator highlights instances when heightened supervision of brokers may be needed.
April 30, 2018
What Could Slug Life and Annuity Investment Managers Next?A KKR team says its base case 'now includes some form of a recession in 2020.'
April 30, 2018
EU Pushes Member States to Do More to Ensure Adequate PensionsEurope is discovering its public pension plans face the same pressure U.S. annuity issuers face.
April 30, 2018
Here's How Far Fund Fees Have Fallen in 20 YearsFor index domestic equity funds, upward of 90% of net inflows last year went to funds with the lowest fees, ICI reports.
April 30, 2018
SEC IM Chief Offers Clarity on Broker Conduct StandardsIM director Blass answers questions on the proposed 'Relationship Summary' and Regulation Best Interest for brokers.
April 30, 2018
Financial Engines-Edelman Deal: Where Are the Synergies?The deal is 'interesting' but raises questions about what Edelman gets out of it, consultant Tim Welsh says.
April 30, 2018
A Close-Up View of the SEC's 'Fiduciary' ProposalThe latest update and details on the SEC fiduciary proposal and Best-Interest plan
April 30, 2018
DOL Rule Rehearing Is 'Unjustifiable': Eugene ScaliaThe lawyer who fought to vacate the rule says requests like those filed by the AARP and three states have a low success rate.