Chairman Jay Clayton says proposal would increase investors' access to research.
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
CEO Daniel Bryant: 'It's a logical next step for us. This has always been our intention, regardless of what IFP is doing.'
The elimination of the deduction for alimony payments calls into question existing prenuptial agreements.
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
As a wave of mergers hits the asset management industry, some analysts question whether the firm should make an acquisition
New owners plan more growth for the software service provider.
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
Seeking solutions to the obstacles that dampen adviser tech utilization.
Agency says Tibor Klein used 'material, non-public information'
Becoming an outsourced chief retirement officer could help combat fee compression.
The three-judge panel split again, 2-1, in deciding not to take another look at the motion to intervene by California, New York and Oregon.
Director Brett Redfearn clarifies how the SEC defines 'best interest' and how it will determine whether a broker is in compliance.
However, it likely won't bar employees from filing 401(k) lawsuits against their employers.
Fuad Habba deposited checks drawn on closed accounts.
Wealth managers don't pay enough attention to the client experience they're providing
But one year of higher health care costs may be worth it to lower RMDs and taxes in the future.
Allan Holeman failed to disclose three IRS liens totaling $157,000.
