The settlement resolves a class-action case that alleged the firm breached its fiduciary responsibility to plan participants
COVID-19 has highlighted the necessity of planning for care in old age, and advisers are increasingly recommending 'hybrid' annuity or life insurance products
An online version of the event will be held in December
The decision by some IBDs to move away from REITs amid the pandemic leaves their advisers with one less tool to use to help clients
NASAA based its model rule on measures in place in Indiana, Montana, Vermont, Kansas and Maine
Litigation alleging that plan sponsors breached their fiduciary duty keeps coming
The regulator warns broker-dealers of a gradual move to increase fees
The semiannual study shows the breakaway trend is increasingly gaining steam
SEC case charged that Connecticut-based Temenos Advisory put investor money at risk and concealed high commissions
The broker-dealer's Utah-chartered industrial bank could open in 2021
Ridgeline Wealth Management had been affiliated with Wells Fargo's FiNet
The four-person adviser team marks the third to transition away from the wirehouse in favor of the independent platform this year
The SEC's new broker advice standard must be implemented Tuesday
Most people who shifted allocations in their retirement plans were more sophisticated investors, according to research published by NBER
Newbridge Securities reported large deficits for 2019, according to its auditor
The Viagra college fund is alive and well, but the earnings test could reduce benefits
The 4U Connect platform stores content to be submitted, reviewed and approved all via a common app
Other big banks are maintaining their dividend payments in the wake of new Fed restrictions
From multifunctional dashboards to an increase in demand for robo-advisers, the industry’s appetite for innovation has only increased with new regulation
The agency says the measure will ensure financial advisers act in retirement savers’ best interests
