News

FINRA to Examine IRA Rollovers

Reviewing firm practices for recommending and marketing individual retirement account (IRA) rollover services will be a 2014 priority for the Financial Industry Regulatory Authority (FINRA).

Growth of 529 Plans Slows

Assets in 529 college savings plans continue to set yearly records, but growth in both the adviser-sold and direct-sold channels is slowing, research shows.

Prudential Adds DST Clearing Service

Financial services and asset management firm DST reached an agreement to bring its retirement income clearing calculator (RICC) services to Prudential Retirement clients.

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.