FSI and SIFMA criticize broker-dealer regulator for creating standards based on settlements.
The regulator undercuts its investor-protection mission by obscuring the most dangerous firms it oversees.
The Labor Department's fiduciary rule and pending MEP legislation may drastically reduce entrenched inefficiencies at the smaller end of the retirement market.
The funds are catching on due largely to lower costs and more product availability, but come with some inherent drawbacks.
CFP Board revises its standards and aims to beef up fiduciary requirements of certificants.
The legal victories come as asset managers are under fire for their dealings with retirement plans.
Some question whether brokers will drop the CFP mark or if the CFP Board will strictly enforce its new standard.
Attempts to suspend benefits can have disastrous results.
House Speaker aims to ease doubts about likelihood of major tax overhaul.
Those who integrate technology throughout their firm are earning almost a quarter more than peers, Fidelity survey finds.
Personal Advisor Services, four times the size of its closest competitor, combines digital and human touch.
Lisa McAlister, former chief accounting officer at the REIT once controlled by Nicholas Schorsch, said Mr. Schorsch instructed Mr. Block to commit accounting fraud in a particular financial line item.
A single standard would both protect investors and simplify regulation.
The bipartisan legislation aims to encourage saving by fixing a wrinkle in existing law.
Former exec says he repeatedly warned of accounting mistakes in REIT financials
Financial advice will learn a lot from a world based on efficiency.
Both young and old clients expect to be able to have digital interactions with their advisory firm.
Active managers are struggling in the face of the index-fund craze, fee compression and TDF dominance.
The measure, effective July 1, requires advisers to disclose any "profit or commission" they receive and make a "diligent inquiry" about a client's financial condition and goals.
A former high-ranking executive testified that he repeatedly raised warnings of an accounting error at the real estate investment trust.
