Her position indicates Regulation Best Interest and the larger rule could become final sooner rather than later, but potential litigation looms.
New business is 'harder and harder' to bring in the door, says a senior executive.
Firm expects to spend $135 million on technology this year, more than double what it spent four years ago.
Custodian to shift away from proprietary fintech and focus on adviser-led experiences.
Martin Kirschner fails to take part in hearing looking into case.
Purchase will allow Morgan advisers to court tech workers as they start to accumulate wealth
Letter cites proposal's 'weak and incomplete' economic analysis.
The board is trying to attract a more diverse clientele to CFPs
A decade after the custody rule was updated, custody status remains a riddle.
Some individuals' benefits will begin automatically; others have to take action.
A lack of effort to find common ground is holding us back, which is why we must hold the president and lawmakers to their promises to change.
The overconcentration of securities was not suitable for some clients, Virginia alleged.
Their main goal, according to early returns from our new survey, is now to improve their digital touch points with clients.
If the problem was caused by power shutdown, why wasn't a backup activated?
Financial advisers bear bad news related to the state and local tax deduction that could surprise clients.
James Paquette was sentenced last month to 10 years in jail.
The Wells Fargo Advisors website appears online, but customers report being unable to access funds.
New legislation would require financial professionals to act 'without regard to' their own financial gains.
Client Goals will track an investor's progress toward financial goals.
In a new study from T3, 85% of advisers say technology should be a part of continuing education requirements.
