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Is SEC Overshooting on Its AI Conflicts Rule?

Morningstar worries the SEC's proposed AI rule on predictive data analytics is too far, while the CFA supports the move beyond solely disclosing conflicts.

United statesMicah hauptmanConsumer federation of americaMorningstar head of government affairs aron szapiroRepresentatives of the financial services instituteExchange commissionResearch jasmin sethiNational association of insuranceUs chamberRegulation best interestMorningstar headGovernment affairs aron szapiroAssociate directorPolicy research jasmin sethiFinancial services instituteNational association

4 signs it s time to fire your financial adviser

If your adviser is a poor communicator, especially regarding your money, it might be time to kick them to the curb.

United statesBobbi rebellTara unverzagtDerieck hodgesMicah hauptmanConsumer federation of americaKnow todayGood news newsletterLaunching financial grownupsConsumer federationAnchor pointe wealth managementSouth bay financial partners

PRINTING United Alliance Opposes Legislation Making E-Delivery the Default

Financial firms have long advocated for digital-first public policies. Now they are pushing Congress to mandate the U.S. Securities and Exchange Commission (SEC), the federal agency charged with protecting investors, to expand electronic delivery (e-delivery). PRINTING United Alliance opposes the legislation.

United statesMicah hauptmanFord bowersInvestor advisory committeeHouse financial services committeeHouse financial services committee onExchange commissionUnited allianceAmerican association of retired personsImproving disclosureInvestors actBill huizengaMaxine watersAmerican associationRetired personsInvestor protection

How the largest wealth management firms do revenue sharing

How the largest wealth management firms do revenue sharing
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

United statesEdward jonesRaymond jamesMicah hauptmanExchange commissionAdvisor groupWells fargoMorgan stanleyConsumer federation of americaBest interestRegulation best interest

Maxine Waters, Elizabeth Warren clash over investment rules

The fight is being triggered by three bills that House Financial Services Chair Patrick McHenry is driving to boost capital raising for startups.

United statesAl iskandariyahAyanna pressleyEvan williamsMicah hauptmanTyler gellaschJill tokudad hawaiiPatrick mchenryChamber centerHouse financial servicesExchange commissionHealthy markets associationConsumer federation of americaSenate democratsUs chamberHouse republicans