The American Society of Pension Professionals and Actuaries and its sister organization The Council of Independent 401(k) Recordkeepers have asked the Labor Department for more time to meet enhanced fee disclosure requirements.
Group storms Capitol Hill to protect retirement savings vehicles
Goldman Sachs failed to implement policies to keep its stock analysts from tipping select clients about upcoming research changes, SEC says.
Insurer to pay nearly $10M to close case; states claim carrier had commission arrangement with Uvest, ProEquities
Advocacy group demands update on rule revamping; 'withdraw and re-propose, not withdraw and walk away'
A Finra arbitration panel has awarded a couple $2.1M over unsuitable tenant-in-common exchange investments
But broker-dealer group still not convinced applying fiduciary standard to IRA advice necessary
The Financial Services Institute Inc. is planning to finance its beefed-up lobbying efforts with big dues increases to its broker-dealer member firms.
This week, when Ric Edelman revealed that he plans to wind down his independent contractor business, he labeled the model 'severely flawed', and stirred up - not surprisingly - a good deal of conversation across the industry.
Despite months of legal wrangling with his former employer, TCW Group Inc., it appears that Jeffrey Gundlach's move to start his own firm is paying off
Fontaine's career change comes amid crucial product launch for DC unit; “bittersweet”
Financial advisers often ask if there is a single good piece of prospecting technology.
Both legislative actions designed to make a point — not to make it into law
Lawmakers including Senators Carl Levin of Michigan and Jeff Merkley said Greg Smith's article showed why the U.S. needs tighter restrictions on Wall Street practices.
