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Robinhood, TradePMR Join Growing Referral Space

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They’re just the latest firms to join the referral space, an area of wealth management that is ramping up.

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Why FINRA Might Overhaul Its Arbitration System

The regulating body is asking the public for feedback on its dispute resolution process.

2 min read
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Texas Stock Exchange Gores NYSE, Nasdaq with New Ad Campaign

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Why the SEC Dropped Its Cash Sweep Investigation into LPL

The Securities and Exchange Commission has entered into a deregulatory era.

2 min read

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Ritholtz Wealth Files for First ETF

Photo via Connor Lin / The Daily Upside

The 351 exchange fund would maintain equity exposure during sustained market uptrends and become defensive during downtrends.

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Behind the CFP Board’s CE Requirement Increase

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The nonprofit has increased its hourly requirements and plans on building out its continuing education offering.

2 min read

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Goldman, BNY Shuffle Wealth Leadership Roles

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Two of Wall Street’s heavy hitters have done a bit of housekeeping in their wealth and asset management units.

1 min read

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