Ms. McAlister 'manipulated and falsely reported' a key financial metric, agency charges.
RIAs can enter '0' in some new parts of the document before their annual filing next year.
After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.
A central argument against the DOL fiduciary rule is that investors with smaller accounts will be abandoned. But many advisers stand ready to serve them.
What if a human adviser dispensed portfolio recommendations based solely on the answers to 10 or 12 written questions?
Plus, find out how the median monthly cost of an assisted-living facility compares from state to state.
Craig Price claims he was fired for speaking up about the abuse of a trust fund.
Despite a trying year, the firm has said it will sweeten signing bonuses for veteran advisers.
A simmering conflict is brewing between the two biggest generations in U.S. history.
With email inboxes getting more and more jammed, firms give text messaging a fresh look
Brokerage firms, the group most affected by a rule delay, would likely put off big projects around adviser compensation and trimming investment products.
It behooves plan advisers to pay attention to their asset-management partners, because advisers rely on them for marketing and practice management support and guidance.
With email inboxes getting more and more jammed, firms give text messaging a fresh look.
Agency says manager overcharged funds $1.5 million
Length of time for measure's review gives SEC, other regulators greater chance to get involved in setting advice standards.
A fiduciary process involves a full understanding of what should be done, rather than what can be done.
Says states need to take the lead in securities investigations as Trump moves to cut back financial regulation.
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
The Financial Industry Regulatory Authority Inc. and FSC Securities last Thursday announced that the firm will pay a $100,000 fine and $492,000 to clients.
Several strategies can cover the gap to help clients claim a bigger benefit later
