Chief marketing officer from TD goes to Schwab
Laurine Garrity, chief marketing officer at TD Ameritrade Inc., will take over the top marketing post at The Charles Schwab Corp. early next month
Custodians taking closer look at adviser compliance
Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home.
Being distant No. 2 in custody biz doesn’t faze Fidelity’s Mike Durbin
Mike Durbin, president of Fidelity Institutional Wealth Services, has his work cut out for him.
Another lawsuit filed over Schwab bond fund
The Charles Schwab Corp. has been hit with another lawsuit claiming that its Total Bond Market Fund, which was represented as tracking the Lehman Brothers U.S. Aggregate Bond Index, loaded up with mortgage-backed securities prior to the financial crisis.
Schwab hit with another suit over bond fund
The Charles Schwab Corp. has been hit with another lawsuit claiming that its Total Bond Market Fund, which was represented as tracking the Lehman Brothers U.S. Aggregate Bond Index, loaded up with mortgage-backed securities prior to the financial crisis.
TD Ameritrade launches UMA platform
TD Ameritrade Institutional has launched a unified managed account platform that is designed to give the firm's advisers a wider selection of money managers.
SEC won’t reveal info on how it decides what info to reveal
Agency mum on how it handles Freedom of Information Act requests; 'completely absurd'
Groups face off over proposed whistle-blower rules
New whistle-blower rules proposed by the SEC have advocates and business interest groups going head-to-head over how — and when — tips should be reported to the agency.
SEC delays plans to create departments
The Securities and Exchange Commission is holding off forming several new departments required under the Dodd-Frank financial reform law.
Schapiro’s $9M payout enrages advisers
The disclosure that Mary Schapiro received nearly $9 million last year when she left her post as Finra's chief executive to become chairman of the Securities and Exchange Commission was greeted with outrage by brokerage industry participants last week.