Plan sponsors are deciding that a per-head fee is fairer than revenue-sharing practices in which fees are based on assets
Telephone, in-person wait times soar as the demand for retirement benefits rises.
What many thought could be a silver bullet against piles of fiduciary regulation now seems just as controversial.
Insurance companies may need help finding forgotten pensioners who left a company with a defined-benefit plan long ago.
Title reform is on every power player's lips these days, but would such a change conflict with the Labor Department's regulation that is already partially enacted?
Both trends reflect the firm's shift away from recruiting in favor of increasing the compensation of existing brokers.
Business owners are only eligible for a pass-through deduction if their income is below a certain threshold. However, there are ways to qualify by reducing their taxable income
FinMason expands its investment analytics service as tech firms look for ways to increase market share.
Massachusetts securities regulator cites DOL fiduciary rule when discussing probe that will focus on investors moved into higher-fee accounts, 401(k) rollovers.
In a four-year-period, Mark Kaplan executed 3,500 trades that resulted in $723,000 in losses
SEC says Merrill missed 'red flags' while selling millions of shares.
The bank's board is looking into inappropriate 401(k) rollovers, one of the problems the DOL rule aims to prevent
This month's edition kicks off with the announcement of Fidelity's new "Consolidated Data" platform, that aims to become a central account aggregation hub of all the relevant information regarding an advisory firm's clients and its own business.
Voya wrongly recalled securities it had loaned out to mutual fund clients early in order to give a tax benefit to its insurance affiliates.
Firms should address shortcomings in data reporting now.
The bill is nearly identical to one that unanimously passed the Senate Finance Committee in 2016.
Investor alleges Allegis and former broker Brandon Curt Stimpson put him in unsuitable investments, violated fiduciary duty and engaged in unauthorized trading.
Lawyers group calls on broker regulator to set up fund to compensate investors.
Advisers are only eligible for the full 20% deduction if their income is less than $157,000 for singles and $315,000 for married couples.
No-show at hearing on outside deals leads to action against repeat offender David Barber.
