In FAQs, regulator says firms should review sales supervision procedures, not every transaction.
Maryland senator wants the SEC to make it harder for corporate executives to sell shares right after buyback announcements.
Before you hire an associate advisor, you need a plan that will benefit both of you. Learn the four questions you need to answer before you hire and steps to help get a new advisor started right.
While legislation proposing a financial transaction tax has been introduced in the House and Senate, it's not likely to be enacted during the Trump administration.
Barred broker worked at 10 different firms in his 13-year career
The SEC claimed BB&T misled clients and caused them to overpay for advisory services.
As tax proposals become increasingly 'loony tunes,' financial planners grow more nervous about how the plans could affect their clients.
Here are changes that advisers should understand so they can spot possible problems and opportunities for clients.
IRI also pushes for SEC rule, and a bill to promote annuities in retirement plans.
Key items include supporting the SEC's Reg BI, working to restore the deductibility of advisory fees and advocating for the adoption of NASAA's elder abuse rule.
Advisers can deliver more value to a client in a world of increasingly integrated health and retirement benefits.
Part one: Adviser marketing from scratch, and finding a target company
There are clear steps that retirement plan fiduciaries can take to reduce the risk of litigation to near zero.
Massachusetts' Secretary of the Commonwealth joins the Labor Department in questioning charges some mutual funds face for using Fidelity's platform.
Legislation faces uphill battle in Congress, but the issue may become popular on the presidential campaign trail.
The network's advisers will be able to offer one-time services or ongoing subscription-style fees.
The fund giant has ridden the wave of investors seeking lower costs, primarily as a result of retirement-plan lawsuits.
Agency's inquiry follows SEC and Finra investigations into private placement firm, which has raised $1.8 billion from wealthy investors.
Many financial advisers are choosing to delay retirement, but where does that leave their younger colleagues?
