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Tuesday, November 21, 2023
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FINRA Proposal Would Allow Broker/Dealers to Use Projected Performance in Marketing to Retirement Plans
PA-112023-FINRA-proposal-1358518659
The new rule would permit brokers to use projected performance in communications about qualified retirement plan investing.
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Morgan Stanley Promotes Jed Finn to Head of Wealth Management
Finn will assume his new role on January 1, 2024, as part of the division’s transition under Andy Saperstein.
Today’s Most Read
1. Potential Implementation Delays Face Social Security Fairness Act
2. Will Trump DOL Move Away From Biden Independent Contractor Classification Rule?
3. Advisers Planning to Increase Technology, AI Usage and Spend
DOL Releases Informational Copies of 2023 Form 5500s
The disclosure forms have been updated for 2023 filings to be completed in 2024.
Advisory M&A News – 11/20/23
Wealth Enhancement adds two New York-based RIA firms; Bitcoin IRA acquires Shrimpy.io; UBS snags Merrill wealth advisory.
Citi, JP Morgan Rated 1st in Digital Platform Satisfaction, According to JD Power
Survey finds connection between digital experience ranking and client satisfaction and retention.
Market Mirror Market Mirror Graph

Monday, the Dow rose 203.76 points (0.58%) to close at 35,151.04, the Nasdaq rose 159.05 points (1.13%) to close at 14,284.53 and the S&P 500 rose 33.36 points (0.74%) to close at 4,547.38. The Russell 2000 rose 9.32 points (0.52%) to close at 1,807.08, and the FT Wilshire 5000 Index rose 330.01 points (0.73%) to close at 45,642.96.

The 10-year Treasury note rose 2/32, bringing the yield to 4.422. The 30-year Treasury bond rose 3/22, bringing the yield to 4.572%. 

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