WealthManagment.com Daily Memo
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| INDUSTRY | | | | | | Ali Hibbs and Patrick Donachie | | National wirehouses have been drawn into the political fallout from the SCOTUS decision to return the issue of women’s reproductive rights to states. Independent firms, with few exceptions, have been more muted in their response. FULL ARTICLE |
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| REGULATION AND COMPLIANCE | | | | Patrick Donachie | | The SEC argued the firm marketed and sold the 'YES' strategy to about 600 investors between February 2016 and 2017, without offering advisors adequate training and failing to communicate the potential risks. FULL ARTICLE |
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| SPONSORED CONTENT | | | | Sponsored by Parnassus Investments | | An ESG-focused value fund that invests in quality companies may help navigate both rising inflation and market volatility. LEARN MORE |
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| REGULATION AND COMPLIANCE | | | | Stacy Sizemore | | The deadline to comply with the DOL’s Prohibited Transaction Exemption 2020-02 is here. FULL ARTICLE |
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| ETFS | | | | Katie Greifeld | | The SEC found that the plan by NYSE Arca to list the product didn’t do enough to prevent fraud and manipulation. FULL ARTICLE |
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| FASTCHAT VIDEO | | | | Sponsored by Protective Life | | How can providers use their knowledge of a broad array of products, including variable annuities, to differentiate themselves from their competition? WATCH NOW |
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