New approach also would allow previously registered brokers to remain in the industry through CE
The acquisition will double Franklin's assets, which hadn't grown in the last 18 months
A spokeswoman for the Bloomberg campaign says the SEC’s Reg BI ‘doesn’t set an adequate fiduciary standard’
Strong fixed annuity sales and growing demand for registered index-linked annuities fuel last year's sales gain, according to a report from the Secure Retirement Institute
Now that I'm part of a larger organization, 95% of my workweek is spent doing what I’m best at: growing the firm
Despite Edelman's enthusiasm, his firm does not recommend digital assets to its clients
The Sacramento duo make up the investment unit of the Sacramento Credit Union
Fidelity Institutional's Lisa Burns describes the tech changes on the horizon for its clients.
Regulator was investigating Ronald Hannes for taking client funds intended to be used for life insurance
NASAA wants to close the regulatory gap between IARs and other financial advice professionals
Texas securities regulator also fines the firm $100,000 for failure to supervise
Kimberly Springsteen-Abbott misused investor money, according to the commission's review of her barring by Finra
Exciting new firms launched at his annual T3 conference for advisers, including FP Alpha and Summit Wealth.
Sergio Ermotti reportedly briefed bank executives on his plans to step down this year
A new white paper offers women a guide to financial competency
Now individual states must adopt the measure through legislation or rule-making
The potential Hall of Famer claims his broker gave him misleading investment advice
Over two years, the fund manager will ramp up the equity allocations in its nearly $300 billion suites of target-date products
The latest update to Reg BI frequently asked questions asserts that the rule applies to high-net-worth customers
What does it take for an insurance agent to lose his license?
