Both sides agreed U.S. government approval of the acquisition would have taken too long.
He says leaving the broker protocol agreement is not a good thing and that firms shouldn't be going to court to prevent 'client choice.'
Finra panel also lets Miguel Ballestas off the hook for $407,000 note
Attorney Natalie Choate explains seven ways to fund Roths without conversions.
John Banks is joining the employee unit
Morningstar's David Blanchett says the 10-year return forecast puts those closest to retirement age in a dangerous place.
The DOJ had until Monday to appeal a split decision in the 5th Circuit Court of Appeals that struck down the regulation. Does that mean it's dead?
Agency clarifies in FAQs that it will not impose a civil monetary penalty, but will require advisers return 'ill-gotten gains' to clients.
Unless Howard Present pays $12.4 million in penalties, interest and disgorgement, he can't be reinstated
PE firm Hellman & Friedman's deal will create the largest RIA in the country.
But don't expect a perfect market like 2017.
The Labor Department's more aggressive stance has made the tasks of finding missing retirement plan participants more demanding.
But dually registered advisers back the regulator's effort to get broker-dealers out of their hair.
Solo practitioner wonders if he can still describe his practice as a fee-only if he takes on financial planning work from a friend who earns some commissions.
These investments let your clients tap into the current M&A boom.
Proposals would allow restrictions and supervison to be imposed while disciplinary action is still being decided.
Payment would settle class action filed by current and former reps over commissions, expenses.
New analysis quantifies the effect on Medicare premiums and Social Security benefits.
As firms try to bring in more young people, they should try to demonstrate the factors that make this career so rewarding and fulfilling
The centerpiece of the proposal, the Regulation Best Interest rule, is not fiduciary and isn't uniform.
