Nominee had conversations with Peter Thiel, Rebecca Mercer, Stephen Bannon and Carl Ichan as some Democrats question whether he will be a tough regulator.
Regardless of DOL gridlock, RIAs are embracing their fiduciary status and promoting it to prospective clients.
Use these cheat sheets about rule changes to help clients claim benefits.
IBDs need to play a bigger behind-the-scenes role in helping advisers attract more client relationships.
Broad questions on the rationale for SROs in the securities industry provide a starting point for the regulator to review and hone its mission, says CEO Robert Cook.
The financial abuse of older people is on the rise.
This is the third multimillion-dollar loss involving Puerto Rico bonds or bond funds UBS has seen since December.
Thomas Caniford pled guilty to securities fraud, publishing false statements and theft from the elderly.
Older people generally overlook or are unwilling to consider home equity as a retirement asset.
It's likely other record keepers will introduce similar services, which mark an evolution among default investing in 401(k) plans.
Passive wallops active the past five years.
Americans have reasons to think they might get away with not paying what they owe.
Whether guided by human or robo, many won't act without consulting someone else first.
The business changes eliminate variability in 401(k) fees and reduce the appearance of any conflicts of interest.
The Obama-era regulations will likely be scrapped by President Trump, whose administration has already taken a stance against them.
The bi-partisan legislation would permit the regulator to pursue larger fines through its administrative process
Advocates for the rule say the Trump Department of Labor is moving too quickly.
