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SEC advice proposal unveiling: Here’s what to expect
Chairman Jay Clayton will initiate momentous action Wednesday, as the commission meets to debate a rule on broker and adviser standards.
401(k) lawsuits being brought more aggressively against retirement plan advisers
Chances of getting sued are more common now than five years ago, says one lawyer.
Plan advisers, consultants question value of managed accounts
Respondents to PIMCO survey say target-date funds offer better value.
Post-tax-time IRA checkup
Ensure your clients' individual retirement accounts are set for 2018
Retirement coverage gap, 401(k) rollovers are big emerging threats for plan advisers
Proliferation of state retirement programs approaching the 'tipping point' where it will lead the federal government to step in.
Morgan Stanley’s success looks long in the tooth to analyst
Sanford C. Bernstein & Co. analyst Christian Bolu, concerned over stalled adviser growth and what it means for lending and deposit growth, believes the stock will "under perform."
AXA reverses course on variable annuity buyout
Insurer had planned an offer to holders of its Accumulator Series variable annuity
Commonwealth’s Joseph Deitch debuts as self-help author
Twenty years in the making, 'Elevate' strives to put a career in financial services in perspective.
Funding The Right Investments At The Right Time
Setting financial goals with clients is important, but even more important is for clients to understand what's possible in their financial future.
Rise of ‘gray’ divorce forces a financial reckoning after 50
Many widows and divorcees regret not taking part in long-term financial planning when they were a couple.
Former Merrill Lynch broker barred for hearing no-show
Finra was investigating Tyler Harris over his personal banking activity.
Wells Fargo Advisors continues to bleed reps
In the latest quarter, the broker-dealer suffered a net loss of 145 brokers.
401(k) plan participants sue Home Depot over alleged fiduciary breaches
Lawsuit also names Financial Engines and Alight, both providers of financial advice to the plan.
Retirement outlook for millennials
They're highly educated and drowning in debt, but have decades to get on track.
Insurers still grappling with costly variable-annuity promises
AXA Equitable and Ohio National have recently tried switching consumers out of VAs with rich benefits through buyouts and exchanges.
SEC to meet to consider advice-standards proposal
Regulator to meet April 18 to consider three-part plan that includes disclosure document, broker standard, adviser-standard interpretation.
Guaranteed income tops boomers’ retirement wish list
Those who work with an adviser are most likely to buy an annuity.
Finra bars former rep for not providing requested information
Regulator was investigating Kevin Lee's possible undisclosed business activities.
Fidelity changing the way it charges for financial advice
Firm is moving to fees based on the amount of each customer's assets.
Sneak peek at new SEC advice standard sparks hope, concern
Investor advocates and industry representatives are both hopeful and concerned after studying overview of proposal slated for release on April 18.
