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Advisors Weigh In on FINRA’s Side Hustle Rule Proposal

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Wealth managers and firms say FINRA shouldn’t have a say in their part-time jobs and personal investment activity.

2 min read

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Advisor Upside

Inside State Street and Apollo’s Private Market ETF

The asset managers are hoping to offer the first private asset ETF and open up alternative investments to the masses.

2 min read
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LPL Financial Terminates CEO Dan Arnold Over Alleged Misconduct

The $17 billion financial firm fired chief executive Dan Arnold for allegedly violating the company’s code of conduct.

1 min read
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Sen. Warren Blasts Advice Industry Over ‘Kickbacks’

Conflicts of interest may be costing retirement savers $5 billion a year in fixed-index annuities, an investigation found.

2 min read

Advisor Upside

Social Security Backs Off From 100% Clawbacks

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A plan to withhold all benefits until historical overpayments are recouped was scrapped in favor of a 50% rate.

2 min read

Advisor Upside

CFP Board Raises Renewal Fee by 26%

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The group will increase its certification fees to $575 to support its public awareness campaign and marketing efforts.

2 min read

Advisor Upside

Edward Jones’ C-Suite Shake-Up

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The IBD is reorganizing parts of its business as executives approach retirement and the industry faces growing demand.

1 min read

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