Even opponents of the DOL rule appear to be zeroing in on titles that cause confusion with the investing public.
The bill would delay the fiduciary rule's implementation two years from the time the legislation is enacted.
Plaintiffs had alleged company was imprudent in continuing to offer company stock as an investment option after it had declined in value.
Veteran adviser manages $170 million in client assets.
The agency's Division of Investment Management provides guidance on how to communicate changes to sales loads that level compensation for brokers.
Only Vanguard and Dimensional Fund Advisors saw net inflows in November.
Whether you are receiving monthly checks or still paying in, be aware of these adjustments.
The increase in contribution rates over the past few years has resulted in billions of dollars in additional retirement savings.
The increase in contribution rates over the past few years has resulted in billions of dollars in additional retirement savings.
By shopping around, consumers can find banks that are less aggressive about collecting overdraft fees.
Make sure you know what you're getting before you take a ride.
Conversations about work and personal fulfillment may lead clients to more successful retirements
Whether your clients are receiving monthly checks or still paying in, be aware of these adjustments.
A few are just a bit smarter than the average.
CEO Robert Moore proves he's not afraid to go toe-to-toe with LPL to recruit top advisers.
Two large independent broker-dealers are latest to retain commission structure. <b><i>(More: <a href="//www.investmentnews.com/article/20161030/FREE/161029902/broker-dealers-split-on-commissions-in-wake-of-dol-fiduciary-rule"" target=""_blank"" rel="noopener noreferrer">B-Ds split on commissions in wake of DOL rule</a>)</i></b>
Investors Capital is in the process of closing down and moving its advisers to another Cetera firm.
While more investors overall are willing to pay for financial advice today, 79% of those aged 30 to 39 are interested in paying for financial help, according to a recent study.
Mr. Clayton, a partner at Sullivan & Cromwell, has represented firms including Goldman Sachs Group Inc., Och-Ziff Capital Management Group and Oaktree Capital Group.
