Lincoln Financial Network has moved all of its clearing business to Fidelity, and will partner with the firm on fintech developments.
Owners of marketing firm Platinum Advisor Strategies deny trying to terminate Robert Sofia without compensation.
Legislation would restore Obamacare cost-sharing subsidies, which Trump said last month he would cut off.
Chairman says it's important that the SEC be involved in coming up with a fiduciary standard that will make investors happy.
The asset classes may be more different than alike, which can benefit investors.
Some providers are paying incentive compensation to representatives to promote their managed accounts to participants.
Wall Street crowd might consider moving to avoid a potential tax hike under congressional proposals.
Smaller shops have benefited from the broker protocol at the expense of larger firms like UBS, experts say
White House and the bureau itself both say the law is on their side over who gets to name new chief.
Thomas Butch is stepping down, and COO Shawn Mihal is filling the void.
Wirehouses are making big bets they can turn "world class" advisers who leave into old laundry.
Supporter of regulation calls the postponement 'an effective repeal of the rule.'
Wirehouse is the second to dump the industry agreement that was created more than a decade ago to limit lawsuits against brokers when they leave firms.
Gains are unlikely to top 5% annually, according to the Yale Endowment's David Swensen.
Current rules require different standards based on whether advice is 'incidental' to a transaction.
Experts ponder what a Securities and Exchange Commission fiduciary rule will look like, and whether it will help unify requirements across agencies.
The hackers may have had access to the agency's Edgar filing system for months.
The reasons for affiliating with a brokerage have changed as compensation has evolved.
Use of collective investment trusts by defined contribution plans has been hovering around 20% for three years, but momentum is building.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
