At a public forum in New York, advisers ask for help understanding how new fiduciary standard applies in practice.
Only $4.9 million in restitutions were ordered during the first half of 2018, down sharply from the $38.1 million ordered in the same period in 2017.
Supporters hope Senate will move similar legislation to increase chances in lame-duck session
Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
Asset managers have been providing advisers with sales and marketing support, but plan sponsors may view that as a conflict.
Attackers allegedly impersonated independent advisers to gain access to VFA's online portal.
New Jersey is the first state to take action on a fiduciary rule after the DOL rule's death, but experts think other states will likely jump on board.
Yes, I'm a millennial, but clients in 2018 should not have to print forms and mail in checks.
Most leaders at some point have found themselves discussing how to “keep” a certain talented individual from leaving the organization. There are several powerful tools for retention, but which strategies are proven to deliver real results?
The wirehouse has obviously noted its own lack of recruiting success this year, as well as the slowed attrition rates at its competitors that have exited the protocol.
The Labor Department is responding to a recent executive order on retirement security from the president.
SEC complaint: John Gregory Schmidt sold securities from seven of his clients to cover shortfalls in 10 other accounts.
New regulatory executive Bari Havlik says firms doing things the 'right way' should see a 'lighter touch' on exams.
If Google, Apple and Facebook control client relationships, they can take control of financial product distribution.
General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.
'Interstate profession' should be overseen at federal level, chairman says.
Activities cited include suspicious trading, questionable transfers, and potentially false and misleading statements.
An IRS nod shows potential pathways for employers, but several considerations must be made in advance of developing such a program.
The CEO of United Capital built a formula for holistic financial planning that any firm can tap into — for a price.
Cost and interest are two reasons behind this stance, but there's more to it.
