More than 650 employers in the state will be sent notices that they're not in compliance. Fines start at $250 per employee.
It's unclear how political battles on other issues will affect the timeline for votes on administration nominees.
The former UBS chief was named co-chair of recently rebranded NewEdge Capital Group.
The Addepar platform tracks how investment portfolios perform across asset classes by aggregating data from client portfolios and overall market performance.
The fund giant says it also added $20 billion in defined-benefit assets last year.
Hugh Lau is leaving D.A. Davidson to start his own firm in Lincoln, Nebraska.
Aggregators realize that in-plan retirement income solutions are needed, while CIOs understand that advisers need to be able to help participants navigate the myriad of benefits offered at work.
A mobile app update removed some functionality and was lampooned on social media sites and in online reviews last year. A website malfunction weeks later couldn’t have come at a worse time.
Less than a third of employers offer such services in some form, most often as it relates to retirement saving. And when the services are available, plan participants tend not to use them.
The victorious lawyer focused on alleged missteps related to liquidity and risk management, rather than conspiracy theory.
Matthew Clason was registered with Lincoln Financial Advisors until 2016, when he moved his registration to LPL Financial.
Clients are increasingly connected via mobile devices, and wealth management tech providers are betting advisers will want to reach clients using texts.
The first installment of a two-part series looking at the major trends in the financial adviser ecosystem that shaped big AdviserTech events in 2021, and what those trends portend for the year to come.
There were 3.3 million, or 7%, more retirees as of October 2021 than in January 2020, according to research by the St. Louis Federal Reserve.
Given the disconnect between what ESG investors expect and what some ESG funds are actually investing in, it's time for some serious reputation risk management.
Finra says member firms are experiencing 'operational challenges' due to the pandemic that make in-person examinations difficult.
As the number of publicly traded companies steadily declined over the past decade, investor interest in the private markets has increased markedly.
Most SEC rule proposals under Chairman Gary Gensler have had only 30-day comment periods, said GOP Rep. Patrick McHenry and Sen. Patrick Toomey.
The agreement is separate from a $6.6 million payment the company previously made and requires it to add a brokerage window to its plan.
Financial advisers could fill the void when it comes to clients' questions about when to claim benefits.
