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California, New York, Oregon and AARP petition court to defend DOL fiduciary rule
The state attorneys general and AARP are asking for the full 5th Circuit Court of Appeals to rehear the case.
Cetera using financial planning technology to help advisers sell insurance
Cetera Financial Institutions sees insurance as a unique growth opportunity for bank and credit union wealth management programs.
SEC advice rule: Jay Clayton says brokers must adhere to ‘fiduciary principles’
However, he believes they also deserve a different standard of care from investment advisers.
Hybrid managing $325 million at Royal Alliance switches to Triad
Cirrus Wealth Management in Cleveland has four advisers, four staff.
DOL fiduciary rule spurred IRA rollover improvements, state regulators say
NASAA report finds broker-dealers are better informing investors.
Future retirees expect Social Security to be main source of income
Survey found many clients would switch advisers to get claiming advice.
Indexed annuities likely to rebound after dip in sales last year
An increase in market volatility, higher interest rates and dissipating anxiety around the Labor Department's fiduciary rule are improving the product outlook.
Finra touts improvements during first year of Finra 360 operational review
Critics say the changes so far don't go far enough.
Employees say workplace retirement plan will be a major retirement income source
Workers are less confident about the role Social Security will play in their retirement, EBRI survey shows.
Labor Department says ESG investments aren’t always `prudent’
Socially responsible investors say rules could sow confusion among managers
The unique nature of working with celebrity clients
Athletes and entertainers are just like everyone else — aside from complex tax issues, a lack of financial savvy and a need for prenups
Ameriprise CEO James Cracchiolo welcomes new SEC advice rule
He says the proposal is more appropriate than the DOL fiduciary rule.
Merrill Lynch fires Chicago star broker Bruce Lee
A perennial member of Barron's list of top financial advisers, his team managed nearly $3 billion in client assets
RIA sellers might be rushing in ahead of market turmoil
Latest research from DeVoe & Co. shows a first-quarter spike in activity.
Chicago adviser Daniel H. Glick sentenced to 12 1/2 years for fraud
Ordered to pay $5.2 million in restitution.
5 key questions about the SEC’s proposed ‘best interest’ standard
The regulator may have purposely left portions of the standard vague so it can crack down on behavior not explicitly stated in the rule.
Finra proposes to widen net for churning violations
Under new rule, brokers would not have to have control of account to be found liable.
The transformation of the adviser-client experience
The U.S. auto industry has changed dramatically in recent decades. Is wealth management headed for the same type of disruption?
Litigation, scale push private colleges to adopt multiple employer plans
The movement to create multiple employer plans creates opportunity for retirement plan advisers.
SEC advice rule: Time for brokers, advisers to weigh in
Much work remains on the proposal, so feedback is crucial.
