WealthManagement.com Daily Memo
Wealth Management Daily Memo

MAY 7, 2021

REGULATION AND COMPLIANCE

Gensler Says SEC Will Enforce Reg BI ‘As Written’

In a testimony before the House Committee on Financial Services, the new SEC Chair noted the regulator would evaluate Reg BI, and "update and freshen" it if need be.

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ETFS

Fund News Advisors Can Use: Target-Date Funds Come Under Fire With Congress

In this week's fund news, two congressional leaders put target-date funds under scrutiny, Yale's endowment head David Swensen dies, and Alger launches a new semi-transparent active ETF.  

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EXCLUSIVE RESEARCH

The Growing Role of Emerging Market Equities

Financial advisors are shifting their strategies around emerging markets equities to help clients better take advantage of the potential growth opportunities.

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ADVISOR INNOVATIONS PODCAST

The Evolution of LPL’s New Affiliation Models

LPL's Marc Cohen discusses how the firm is enhancing its business to appeal to independent advisors.

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FIXED INCOME

Investors Prepare Taper Tantrum Plan as Fed Demurs On Timing

With economists expecting the central bank to begin paring asset purchases by the end of this year, Fed officials are sticking to the script that it’s too early to discuss any shift in pandemic policy setting.

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SPONSORED CONTENT

Gifts and Estate Planning: What to Know

Why smart estate plans include a gifting strategy.

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Podcasts

MINDY DIAMOND ON INDEPENDENCE

From Insurance Sales to $8B RIA: A Northwestern Mutual Breakaway Story

A conversation with Andy Schwartz, principal, Bleakley Financial Group.

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MICHAEL KITCES' #FASUCCESS PODCAST

The Positive Marketing Results Matt Gulbransen Sees From Direct Mail Seminar Events

Pine Grove Financial Group's Matt Gulbransen discusses the ROI that can still be generated from a marketing funnel built around direct mail seminars.

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SPONSORED WEBINAR

Envisioning Today’s Growth Plan

The growing trend pre-pandemic to leverage technology for greater business efficiency has only accelerated. Join us online on May 11th to hear industry experts discuss the recent trends influencing technology buying and share tips that can set you up for success.

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