Last year, the agency managed to examine about 16% of all advisors, but it aims to do more exams in 2023.
The pooled employer plan is going live as the Department of Labor's new ESG rule takes effect.
Over two-thirds of non-retired investors say they may continue working after they retire.
The bill sails through House, 419-0, on a fast track. Its author, Rep. Ann Wagner, R-Mo., hopes the Senate acts this time around.
UBS reported that it had 6,245 financial advisors in the Americas region at the end of last year, little changed from 6,218 at the end of 2021.
A legal challenge to the agency's rule on investments in retirement plans was inevitable, lawyers say.
As clients consider whether to relocate once they're retired, here's a ranking that takes into account 47 factors related to each state’s affordability, health care and overall quality of life.
A growing number of defined-contribution retirement plan participants are seeking guaranteed lifetime income products, according to a report from Greenwald Research.
Robert Levitt has traded Florida for the French Riviera, where he sees a wide-open market in the 250,000 Americans living there who need financial advice.
Broker-dealers are falling short in identifying and mitigating conflicts of interest, the agency said.
According to Robert Earl Turner's BrokerCheck profile, UBS has settled six disputes with his customers for close to $12 million.
Jonathan Blakelock and six staff members are joining LPL from Ameriprise and will operate as Blakelock Financial Group in Kingwood.
The House Republican bill is likely to hit a wall in the Democratic-majority Senate. There might be a better chance to extend some 2017 tax cuts set to expire in 2025,
Plus Morningstar adds investment planning to Advisor Workstation, Element secures $5 million and Kwanti announces an asset screening feature.
The Klinger Quan Group, which manages more than $1.3 billion, joins in San Francisco, while David Sacharko and Sean Siana, with $340 million, join in Hartford, Connecticut.
With the cryptocurrency's price up 40% so far this year, a new report shows a doggedly bullish outlook among investors and advisors willing to look past extreme volatility.
According to Finra, the broker-dealers fell short in giving some clients breaks when rolling over 529 plans from one state to another.
The convergence of low bond prices, high inflation and market volatility has boosted the number of retirees being forced to go back to work.
The AI tool explains that the market is too unpredictable to design such a fund, while warning about the need to pick investments that align with goals and risk tolerance.
A ranking of the best states to retire takes into account factors related to affordability, health care and overall quality of life.
