Patent infringement claims against Financial Engines means plan sponsors should be vigilant and ready to reassure plan participants.
The average compensation for Finra's 3,400 employees last year was nearly double that of the average worker on Wall Street. Bruce Kelly takes a look at the numbers. <i>Plus:</i> <a href="//www.investmentnews.com/article/20140620/FREE/140629985"" target=""_blank"" rel="noopener noreferrer">Finra trims operating loss but comp costs climb</a>
Rules have changed the investment industry fundamentally by creating the position of CCO and requiring a written compliance program.
Companies must heed the gentle warnings being given to them by Finra and the SEC on complex investments.
It'll be nearly 20 years before the trust fund runs out of surplus
Brokers like to complain about Finra exams. Now they have a chance to tell the organization exactly what they think — anonymously.
The firm is teaming up with Fidelity to transition around 100 firms.
Says company has started the healing process; expects full recovery may “take some time.”
Along with helping identify trading abuses, system will help facilitate cost-benefit analyses
Social Security Administration says benefits will rise 1.7% next year, coming to about $20 extra per month, which some argue won't cover health care inflation.
Rep. Scott Garrett, the chairman of a House Financial Services subcommittee, calls Finra's data-collection proposal 'costly and burdensome.'
Income levels determine how much clients will pay for Medicare Parts B and D; planning is key.
Recent investigations of Pimco's Total Return Bond ETF and church bonds highlight the need to investigate an investment's truest price.
Deal stirs concerns that Fidelity may cut off other custodian's access to popular software.
<i>Breakfast with Benjamin:</i>Shopping season bodes well for stocks. <i>Plus:</i> John Hancock pushes for liquid alts in retirement plans; being thankful for seasonal market timing; and learning to fly drones for fun and profit
Three steps to take to help clients understand their financial situation and investment strategy options.
With Republicans leading the House and Senate next year, the possibility of some reforms to the Affordable Care Act are possible. The rules around the employer mandate seem to be those most likely to find compromise within the Congress and at the White House.
Friday's <i>Breakfast with Benjamin:</i> Money flowing to technology but record highs mask weakness. Plus: Eaton Vance's big news; BofA's big loss; Home Depot's big data breach; and dreaming big, big, big.
Despite Republican takeover of Senate, disparate goals of lawmakers may make progress hard to come by.
