It's your story and the relationship you build that draws in prospects, a marketing expert told attendees at the <i>InvestmentNews</i> Women Adviser Summit in Boston on Tuesday.
Alabama, Indiana and Vermont will likely be joined by many states requiring adviser action against exploitation, while giving them immunity.
Labor secretary says the extensive rulemaking process and the regulation's merits of consumer protection will protect the measure.
The legislation, which would place a tax on stocks, bonds and derivatives trading, was rolled out now to elevate the issue in this fall's election.
Edmund F. Murphy III, president of Empower Retirement, says reforms need to be led by the private sector.
Following record MetLife fine, regulator says VAs are now at the core of their focus: complex products marketed to seniors.
Chairwoman Mary Jo White and commissioner Kara Stein laid out regulations the agency will tackle, despite missing two of its five members.
A move by the Securities and Exchange Commission to beef up oversight of investment advisers probably will not stop the agency's effort to establish third-party exams for the sector.
How can those suing to quash the DOL rule, like SIFMA CEO Ken Bentsen Jr., claim to also support its premise?
Another item of interest to financial advisers, third-party exams, is also on the docket for next spring.
