Executive is former Pershing COO and group president at Envestnet
The university was one of about a dozen prominent schools sued by Jerry Schlichter in 2016.
Experts discuss how technology disruption can help advisers meet changing client expectations.
Rule should provide clarity on role of adviser, enhanced investor protection and regulatory coordination.
SEC Chairman Jay Clayton put a fiduciary-rule proposal at the top of the agency's rulemaking agenda on Friday, saying that the market needs "clarity" on the relationships between financial advisers and clients.
The groups will expand beyond compliance to provide advisers with turnkey solutions, training programs and even succession planning.
Agency hopes to overcome past divisions on investment advice standard.
Bitcoin gains and losses are taxed like property, but a lack of information could make filing a challenge.
Agency failed to tell survivors that they could switch to a higher retirement benefit later
Legislation by Rep. Richard Neal would require most small businesses to establish a retirement plan and automatically enroll employees.
Broker Lawrence Barber made unauthorized changes to client's account, state charged
Those in a private LinkedIn chat room were sounding off about fears the independent broker-dealer will require a move to ClientWorks before it is fully ready.
Following fiduciary best practices strengthens client relationships and makes them more enduring.
Legislation requires brokers to act in the best interests of clients.
The aggregator has a new focus on the 401(k) market.
'Sizable position' in blockchain startup decimates Dennis Gartman's retirement savings.
Uncertainty over the Labor Department rule, in addition to a potential SEC fiduciary regulation and others from the states, was a primary contributor to the industry's slide.
The increased use of annuities and reverse mortgage could improve outcomes.
Plaintiffs warned the Fifth Circuit that Massachusetts' move against Scottrade signaled that the partially implemented regulation can raise costs for financial firms.
Says firm and broker Christopher Duke Bennett mishandled retirement accounts.
