Finra has allowed fully remote inspections during the pandemic, and the industry is now encouraging the regulator to make the temporary adjustments into long-term changes.
The addition of Meridian Group gives the firm a Roanoke, Virginia, footprint
The B-D's $1.3 million settlement with the regulator involves its failure to supervise adequately a complex series of transactions involving variable annuities and whole life insurance policies.
Group will join firm’s Deer Park, Illinois office in Chicago’s northwest suburbs
A system built around inaction shouldn’t expect people to become more involved with it, much less bear responsibility for keeping their accounts safe.
The portable city-run plan would not require employer contributions.
James Galkowski will open an office for the firm in Rochester, Minnesota.
The six-person Kraner group based in New Jersey is affiliating through INC Advisor, an office of supervisory jurisdiction.
Europe has led the way in the exploding market for socially responsible investing.
Hype from retail and institutional investors on digital assets isn’t enough to sway skeptical advisers who are weighing the risk and reward of crypto before adding the asset class to clients' portfolios.
A plan participant sued the company on behalf of the class in 2018, alleging that Lowe’s and the plan’s investment consultant, Aon Hewitt Investment Consulting, violated their fiduciary duties in connection with a fund on the plan menu.
The largest independent broker-dealer hit record asset levels as the advisory business continues to drive growth. Advisory assets increased by 54% on a year-over-year basis.
The five-member team is joining the firm’s Newport Beach, California office
Advisers who enroll in the program will be qualified as experts in digital assets, says RIADAC founder Ric Edelman.
The proposal would enable Americans to build retirement savings while repaying their student debt even if they can't afford to make their own contributions to a 401(k) plan.
A widow couldn't decide whether to move to a condo or to a retirement community, as her children were urging. She was just stuck.
Narrow Democratic majorities in the House and Senate provide plenty of political obstacles that could impede the president's tax plan.
The court found that the rule was unconstitutionally vague and gave the state too much latitude to find violations.
The eight-person Paulson Holman Gatto Group is opening an office in Lake Forest, Illinois.
Keystone Retirement & Insurance Advisors is based in Houston.
