Life and Annuity Pros Need a Site Like BrokerCheck, Advocates Say
By Allison BellConsumer advocates want the NAIC to run a site for checking the backgrounds of agents, navigators and others.
April 02, 2025
Commonwealth Wins Reversal of $93M SEC Revenue Sharing PenaltyA court last year found Commonwealth liable for failing to disclose a mutual fund revenue-sharing pact.
April 01, 2025
BD to Pay $150K Over Reg BI, Form CRS FailuresThurston Springer's written policies discussed Reg BI in general terms and did not include procedures for delivering Form CRS.
April 01, 2025
New Bill Raises Social Security Income Tax ThresholdThe RETIREES FIRST Act increases the amount of income retirees can receive without paying taxes on benefits.
April 01, 2025
Externship Program for Future Planners Returns for 6th SummerThe eight-week virtual experience, led by Hannah Moore, is designed for students, new professionals and career changers.
April 01, 2025
Schwab's Sonders: Mega-Caps Could Fall Further, Dragging Down Rest of Stock MarketThe "Lag7" pullback hasn't hit broader market valuations yet, the chief investment strategist writes.
April 01, 2025
Dual Acquisitions Bring Nearly Another $1B to MercerOne deal brings the RIA its first offices in Kentucky, while the other expands its presence in Tennessee.
April 01, 2025
DFA Updates ETF Share Class Application After 'Productive' SEC TalksThe agency's acting chair said he was prioritizing review of applications for the Vanguard-style arrangement.