Displaying 10194 results
Trouble looms for small RIAs in next bear market
Firms reluctant to sell now may struggle later to find a merger partner to survive.
Already sizzling market for advisory firms could be stoked by DOL fiduciary rule
Deal flow and complexity on the rise when it comes to sales of adviser businesses.
Reading between the lines of Friday’s jobs report
Plus: Brexit bust, SEC nabs doc for insider trading, and double your retirement savings
Brokerage groups’ higher spending on lobbying doesn’t kill DOL fiduciary rule
Despite heavily outspending investment adviser groups on lobbying lawmakers in the second quarter, industry trade associations didn't succeed in a key goal.
Dawn J. Bennett barred from industry; ordered to pay $4 million in fines, disgorgement
SEC ruling includes a civil penalty of $600,000 for Ms. Bennett and $2.9 million for Bennett Group.
Top adviser questions on DOL fiduciary rule answered
Here are the main points of confusion among Fidelity's many adviser clients, and some insights that might help guide their strategy.
Key fiduciary decisions loom for retirement plan advisers using money market funds
Once-plain-vanilla funds due for a serious makeover, meaning now is the time to carefully assess cash options.
How financial advisory firms can practice emergency preparedness
Advisers should test their emergency plans periodically to make sure they are in compliance with Securities and Exchange Commission rules.
DOL fiduciary rule’s ‘grandfathering’ exemption may be lost by changing firms
Regulatory experts say there's a strong likelihood advisers would lose the grandfathering exemption granted under the fiduciary measure simply by switching firms.
With Indiana Gov. Pence on ticket, advisers need to be careful with donations
Under the SEC, pay-to-play rules kick in for RIAs who contribute to a candidate for office who could influence the selection of an adviser for state accounts.
LPL’s earnings bounce back, but commission revenue continues to erode
First-quarter profit nearly double what the company posted in the previous quarter.
Adviser relief follows judge’s injunction of overtime pay rule
Labor Department's regulation will not take effect Dec. 1.
Securities America to pay $1.5 million for mutual fund overcharges
The independent broker-dealer is paying restitution for failing to waive sales charges for some retirement plans and charitable organizations, according to Finra.
Radio show host Ric Edelman rants about raging fiduciary battle
Lawsuits filed against the Labor Department's regulation expose conflicts in financial advice.
Congressional sit-in disrupted by failed attempt to override veto of anti-DOL fiduciary rule bill
Attempt to override the presidential veto of an anti-DOL fiduciary rule bill was used to interrupt a protest demanding action on gun-control legislation.
LPL, Cambridge and others in ‘serious’ talks to buy Foothill Securities
The adviser-owned independent broker-dealer is in “serious discussions” to be acquired by a larger firm, with LPL, Cambridge, and others as potential suitors.
Adviser’s Consultant: Outsourcing many compliance duties best move for CCOs
Unless firm can spend $200,000-plus a year, don't keep most compliance functions in-house.
DOL’s rule on state retirement plans arrives at OMB
The regulation, which offers states a route to avoid liability under ERISA, took its final step toward finalization.
Advisers asking DOL for clarification on fiduciary rule’s impact on compensation
Labor Department's Tim Hauser discusses fiduciary rule's impact on compensation.
Raymond James agrees to $5.95 million settlement with Vermont over alleged compliance failures
Vermont's regulator found supervisory failures under an EB-5 program helping to develop the state's ski resort
