One is a vote on a bill to kill Labor's rule and replace it with a disclosure-based best-interest standard, while the second is legislation to prevent funding for enforcement of the regulation.
Negative links can cause prospects to disappear and clients to ask questions.
Eligibility rules are more lenient for the survivors of young workers because of their brief careers.
One hundred and thirty advisers left in the second quarter, marking the firm's third consecutive quarter of reductions.
Both sides claim they're doing what's best for the average investor.
The share of older people in the workforce is higher than at any point since before the creation of Medicare.
Research finds a woman and a man can have significantly different views of the same marriage.
Depletion of Disability (DI) trust fund pushed back five years due to a temporary increase of its share of the payroll tax.
A recent district court decision has implications for how retirement plan sponsors should monitor their adviser.
Broker-dealer hasn't yet determined whether the platform will be mandatory when it launches next year, given the fluid regulatory environment.
Bill's sponsor, Republican Rep. Ann Wagner, still hopes to get bipartisan support.
Regulator censured the firm for failing to maintain copies of messages.
The custody rule can put unnecessary burdens on both the adviser and the client.
Concern about 'Rothification' as part of larger tax reform spurs lobbying.
In his first major speech as agency chairman, he says a guiding principle is 'long-term interests of Mr. and Ms. 401(k).'
Legislation would require brokers to 'avoid, disclose or otherwise reasonably manage' conflicts of interest.
Claimants wanted $3 million for alleged fraud, churning and negligence in bond trades
The settlement, if approved, would be among the largest in cases alleging enrichment due to use of proprietary investments.
Though the House version would repeal the 3.8 percent tax on net investment income and 0.9 percent Medicare surtax, the Senate is trying to win over moderate holdouts.
The plaintiff claims the plans were "loaded" with proprietary mutual funds, and 98% of the investable assets were held in company-affiliated investments.
