Enforcement division giving advisers until June 12 to declare intentions to self-report fiduciary violations and make financial restitution.
Despite advisers' misgivings, asset managers are coming around to the idea that a company's stance on environmental, social and governance issues is a good proxy for future success.
Jerome Powell's background in financial services is viewed as a plus.
Captrust's John Curry says other RIAs could easily follow his firm's lead in using podcasts as a simple and efficient communications tool.
Private-equity backers embrace the expanded access to investors.
Executives representing RIAs and brokers said they expect to see the SEC come up with a proposal this year, but not adoption.
TD Ameritrade Institutional's latest benchmarking report blamed the distraction of the tax reform bill for a slowdown in the fourth quarter.
WisdomTree investment strategist says equities 'are nowhere near as expensive as bonds.'
Kathleen McQuiggan has a long-term goal of ensuring that 30% of financial planners are women.
Custodians report cash is at record-low levels.
