Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Cerulli says 'concern for fiduciary alignment' will color product selection.
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Finra says the bank's ratings system was riddled with errors and cost clients money.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
Finra says Bear Stearns' flawed system led to securities segregation issues
State would require products best suited for clients to be sold over those most profitable to sellers.
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
New platforms provide a curated menu of products like private equity, private credit, venture capital, real estate and hedge funds.
SEC and Finra say firm failed to implement reasonable anti-money laundering procedures.
The bill slashes the corporate tax rate to 21% from 35% and cuts individual tax rates across the board.
Organization showcases support from pro-fiduciary consumer groups, but not everyone is on board.
If she suspends her retirement benefits, she can't collect survivor benefits.
A re-enrollment is a large undertaking, but advisers can easily determine if one is warranted.
Consider all attributes of a bond and choose a trading platform that is aligned with your clients' best interests.
Senate confirms Preston Rutledge to key Labor Department role, while Hester Peirce and Robert Jackson Jr. join SEC as commissioners.
