SEC chairman acknowledged that tighter budgets would require increased efficiencies to meet examination goals.
Americans are more likely to choose debit cards for routine purchases.
The HEART Act permits rolling all or part of life-insurance and combat-related-fatality payouts directly into the tax-free retirement plan, but few take advantage.
Brian Graff, executive director of the National Association of Plan Advisors, predicts the Trump administration will favor tax changes that will be well liked.
Trio managing $270 million joins firm's employee channel.
Michael Breton of Strategic Capital Management sentenced for $1.3 million fraud.
Other states could move in to plug the fiduciary gap if the DOL and SEC devise a watered-down standard.
Three reps in Palm Beach Gardens, Fla., affiliate with independent unit.
Extraordinary level of activity attributed to an erroneous order.
Prompted by the DOL fiduciary rule, LPL has told its hybrid advisers they can offer education and outline options, but cannot advise clients to roll over their funds into an IRA.
The organization's efforts are another signal that the fiduciary movement is picking up steam; advisers should let their opinions be known.
If a city has money, it has a Hamptons equivalent.
Financial advisers should use the summer to evaluate all 2016 and 2017 Roth conversions for clients.
Some perceive a conflict of interest in advisers supplying investment performance — regardless of adviser type.
All-public arbitration panel says firm breached fiduciary duty.
Firm censured for inaccuracies and errors in OTC options reports from 2008 through this year.
Fidelity, Aon Hewitt and Xerox HR Solutions are currently defending against similar fiduciary-breach claims.
Workflow changes are a big challenge of the fiduciary rule, says Aite report
