The organization may eventually broaden a rule that already covers disbursements from brokerage accounts.
GOP's regulation-killing rider has failed in previous years, but investor advocates remain wary.
Shares of LPL, Raymond James and Ameriprise are among those outperforming their benchmark, while Oppenheimer Holdings is down by double digits.
State-registered RIAs in Oregon and California steered best trades to own accounts.
The president and Treasury secretary have expressed support for keeping tax breaks in place on municipal bonds.
Derek Burke replacing Jerry Murphy as president of firm.
Providers are being forced to make tough decisions on which advisers they can support.
Michael J. O'Connor refused to testify in a Finra disciplinary hearing about his termination.
The plaintiff claims Voya potentially earns more than $1 billion per year in "excessive compensation" from its nearly 50,000 record-keeping clients.
Firm fined $750,000 for alleged misrepresentations to issuers in bond redemptions.
Republican Hester Peirce and Democrat Robert Jackson seek to fill two vacancies on the commission.
Benson Financial Group in Hannibal, Mo., affiliates with branch of Securities America.
Advisers need to be aware of all possible defenses available to them for alleged breach of fiduciary duty.
Financial Planning Association expects to increase offerings to younger advisers over next year.
Latest robo-adviser challenges rule-of-thumb approaches.
The case is the latest setback for Mr. Holt, a former attorney who has been disbarred, thrown out of the securities industry and is currently serving a 10-year prison term.
The brokerage suitability model is rife with conflicts of interest, but the RIA model is not pure.
United Income models 'future life outcomes' based not only on expected investment performance but potential life spans and spending levels.
