The SEC claimed BB&T misled clients and caused them to overpay for advisory services.
IRI also pushes for SEC rule, and a bill to promote annuities in retirement plans.
As tax proposals become increasingly 'loony tunes,' financial planners grow more nervous about how the plans could affect their clients.
Part one: Adviser marketing from scratch, and finding a target company
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.
There are clear steps that retirement plan fiduciaries can take to reduce the risk of litigation to near zero.
Advisers can deliver more value to a client in a world of increasingly integrated health and retirement benefits.
Legislation faces uphill battle in Congress, but the issue may become popular on the presidential campaign trail.
Massachusetts' Secretary of the Commonwealth joins the Labor Department in questioning charges some mutual funds face for using Fidelity's platform.
The network's advisers will be able to offer one-time services or ongoing subscription-style fees.
Agency's inquiry follows SEC and Finra investigations into private placement firm, which has raised $1.8 billion from wealthy investors.
The fund giant has ridden the wave of investors seeking lower costs, primarily as a result of retirement-plan lawsuits.
Many financial advisers are choosing to delay retirement, but where does that leave their younger colleagues?
A client's morale will start to drop as quickly as their net worth.
How serious is the issue of financial literacy in the US and what can be done about it? Find out here
Aite report shows more advisers are reaching out directly to technology vendors.
Vehicles offer way to get tax breaks for bundling donations while delaying the giving part.
Compliance isn't the only issue — you need to have the right kind of content to start an account in the first place.
SIFMA, FSI, Investment Adviser Association say hands off; 16 advocacy groups say bring it on.
