There could be a real opportunity for the first time in years for private equity players targeting advisory firms.
Firm failed to enforce supervisory systems for the use of consolidated reports generated by their reps, regulator claimed.
Value, currency and momentum favor the category.
The trend of automatic enrollment adoption is trickling down to the smallest plans, while employers are also increasing their deferral rates above 3%.
The opinion vacated the Los Angeles District Court's ruling that the case could not proceed because of a statute of limitations on three of six funds in question.
Firms are increasing productivity and personalizing the client experience with AI.
Unless a lot more people open accounts, the program's impact on America's retirement savings shortfall will remain a rounding error.
The regulation is similar to one issued in August around state retirement programs.
Many of the tools will be inspired by today's customer, who wants the same efficiency and ease they find with Amazon.
The emergence of several "exotic" indices within indexed annuity contracts have arguably made these products more complex than they need to be.
The funds seek to capitalize on the growing popularity of environmental, social and corporate governance investing, and help diversify in an increasingly competitive TDF market.
Experiencing poor performance of late, the investment serves as a useful hedge against stock, bond downturns.
The rule could ultimately be killed or replaced, but only one course of action by firms provides certainty.
Regulator brought broad, sweeping cases and also ramped up its crackdown on smaller infractions during Mr. Bennett's six-year tenure. <b><i>(Related read: <a href="//www.investmentnews.com/article/20161006/FREE/161009948/advisers-want-finra-to-focus-on-the-bad-guys-and-leave-the-rest-alone"" target=""_blank"" rel="noopener noreferrer">Advisers want Finra to focus on the 'bad guys' and leave the rest alone</a>)</b></i>
Phil Fiore Jr. was part of an $8 billion team and was selected by Barron's as a top adviser in Connecticut in 2015. <i><b>(More: <a href="//www.investmentnews.com/article/20161221/FREE/161229983/former-registered-representative-in-texas-arrested-for-internet"" target=""_blank"" rel="noopener noreferrer"> Former registered representative in Texas arrested for internet Ponzi scheme</a>)</i></b>
Credit cards, home equity lines of credit, adjustable-rate mortgages and personal loans could inch higher after a rise in the federal funds rate.
Find out how your credit card balances and total household debt compare to the latest national numbers.
By reevaluating supplemental and prescription drug coverages, Medicare enrollees can make up for premium increases.
