The CFA is calling on regulators to investigate whether brokers are moving clients to higher-cost, fee-based accounts, which it says would be a violation of the DOL rule.
The fate of Nicholas Schorsch's companies holds lessons for brokers who buy stock in their employers' firms.
New service will record and archive text messages in searchable format.
The Delta Family Care Savings Plan had $8.12 billion in assets as of Dec. 31, 2015.
Jay Clayton assures Republican critics of DOL rule that agency's proposal would give investors the option of choosing a broker for investment advice.
Several plan providers have expanded their participant-call-center services to include fiduciary advice, and advisers must help clients navigate the change.
Sen. Bob Corker, R-Tenn., said the White House is showing 'softness' when discussing how the tax cuts will be paid for, such as by repealing the state and local tax deduction.
Judge says barred broker was supplied false statements by boss, who had 'ultimate authority' over them.
Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle.
The regulatory attorney and chairman of the Securities Practice Group gave a typically candid speech about SEC exams at the Raymond James Wealth Managers Conference.
This month's edition kicks off with the big news that Envestnet is acquiring FolioDynamix, a 'mega-deal' that will bring Envestnet's total assets to $2T.
Sometimes it's better to coordinate claiming strategies where one collects spousal benefits.
Expectations vs. reality: What investors think – and how advisers plan – for retirement income.
When it comes to retirement, new research underscores how health care, medical expenses and longevity risks are top concerns of investors.
The exam proposal would apply to 'low-risk' branch offices, while the public database proposal would more closely resemble the SEC's Form ADVs.
Generate excitement beforehand, track your team's progress, and communicate every step of the way.
The agency said two people's personal data, including dates of birth and Social Security numbers, were stolen, as it continues to investigate the breach.
How to help clients navigate yearly changes that could affect their coverage and costs.
Katy Knox named president, replacing Keith Banks, who will become vice chairman of the global wealth and investment management unit.
