Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
Asset managers have been providing advisers with sales and marketing support, but plan sponsors may view that as a conflict.
New Jersey is the first state to take action on a fiduciary rule after the DOL rule's death, but experts think other states will likely jump on board.
Attackers allegedly impersonated independent advisers to gain access to VFA's online portal.
Yes, I'm a millennial, but clients in 2018 should not have to print forms and mail in checks.
Most leaders at some point have found themselves discussing how to “keep” a certain talented individual from leaving the organization. There are several powerful tools for retention, but which strategies are proven to deliver real results?
The Labor Department is responding to a recent executive order on retirement security from the president.
The wirehouse has obviously noted its own lack of recruiting success this year, as well as the slowed attrition rates at its competitors that have exited the protocol.
SEC complaint: John Gregory Schmidt sold securities from seven of his clients to cover shortfalls in 10 other accounts.
New regulatory executive Bari Havlik says firms doing things the 'right way' should see a 'lighter touch' on exams.
If Google, Apple and Facebook control client relationships, they can take control of financial product distribution.
General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.
'Interstate profession' should be overseen at federal level, chairman says.
Activities cited include suspicious trading, questionable transfers, and potentially false and misleading statements.
An IRS nod shows potential pathways for employers, but several considerations must be made in advance of developing such a program.
The CEO of United Capital built a formula for holistic financial planning that any firm can tap into — for a price.
Cost and interest are two reasons behind this stance, but there's more to it.
The way we see it, there's value in simplicity — so let's start there.
Americans interested in hypothetical emergency savings program offered by employers.
The SEC charged Frost with fraud earlier this month.
