Search results for: SCO

FINRA Proposes Automated Oversight

The Financial Industry Regulatory Authority (FINRA) is soliciting comments on a proposal to standardize and automate account activity and security reviews for its members.

Invesco Overhauls Some ETFs

Invesco PowerShares, a provider of exchange-traded funds (ETFs), will change the names and underlying indexes of 10 ETFs.
practice management

In Perfect Alignment

Best practices for working with recordkeepers and investment managers

Big Picture Thinking

Panelists in the CEO Roundtable session discuss retirement plan industry trends and direction

Jon Prescott

Vice President of CPI Qualified Plan Consultants Inc.

Connecting With Clients

Best practices in adviser presentations

SCOTUS Takes Up Prudence Issue

The U.S. Supreme Court has agreed to hear a case raising fiduciary issues and questions about what constitutes prudent investment decisionmaking within employee stock ownership plans (ESOP).