Finra employees saw a 4.7% comp bump in 2023

Finra employees saw a 4.7% comp bump in 2023

"No one has ever gone hungry working for Finra," says compliance executive.

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Envestnet acquisition should ‘embolden’ advisors

The deal "signals to people who are going independent that there's money out there to be had."

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Proposal tool enables advisors to do more than open accounts, says Envestnet director

Envestnet Director of Product Management Diane Havrilla joins InvestmentNews anchor Gregg Greenberg to explain how the company's proprietary proposal tool enables advisors to not only open accounts but customize them as well.

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ED SLOTT

SECURE 2.0 penalty protections may not be as good as thought

There is confusion over RMD rules and advisors must step up to the plate to help clients.

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VIDEO

Defined maturity ETFs on the rise as Fed readies rate cuts

Steve Laipply, global co-head of iShares fixed income ETFs at BlackRock, explains the rise in defined maturity, CLO and other fixed income ETFs as the Fed looks closer to cutting rates.

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U.S. Bank seeks to narrow wealth gap, boost African-American finances

The key for financial advisors seeking to tap into the widely underserved black community is to be culturally sensitive.

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OPINION

The allure of independence is real but look before you leap

Financial advisors should consider taking advantage of the new brand of independence: the best of both worlds.

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World Investment Advisors lands $3.5B indie firm

The newly rebranded financial advisory division of World Insurance Associates has just gotten considerably bigger in Massachusetts.

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Americans at risk of a probate sucker punch, warns Trust & Will

Polling by the digital planning platform found adults vastly underestimate the time, costs, and emotional toll of the estate settlement process.

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Northern Trust tightens San Diego focus with new market leader

The latest promotion in the firm’s wealth division will oversee strategic growth and services in the high-net-worth hotspot.

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InvestCloud forges partnership with Focus firm Buckingham

The global wealth tech provider is helping the $70B RIA firm boost its advisors’ efficiency through a multi-phase project.

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Avantax extends New York presence with veteran advisor duo

Cetera's tax-centric subsidiary is welcoming a $150M independent team in Long Island that chose to cut ties with Osaic.

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Apex helps firms aim higher with new cloud-based platform

The fintech aims to help simplify operations and risk decisions with real-time data and intelligence hosted on the cloud.

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CFP Board taps Rise’s Terri Kallsen as chair-elect for 2025

Kallsen will assume the role from Elizabeth Miller, who’ll step up as chair of the board next year.

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Finra adds enforcement muscle with SVP hires

The industry regulator has tapped two legal luminaries to newly established positions following a report questioning its thin 2023 record.

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AI laggards gain traction as fatigue sets in for Magnificent Seven

Experts see a "catch-up" trade in tech as extreme growth in AI leaders sets stage for value seekers.

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BlackRock takes to the blue-chip bond market for Preqin deal funding

The world's largest asset manager is issuing three tranches of debt to help fuel its venture into the private-markets data space.

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Addressing workforce risks among executives' top priorities: report

As 'megatrends' grow more interconnected, businesses need to adopt 'comprehensive, data-driven, forward-looking approach to risk management' .

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