Harmonizing between federal agencies and state regulators is a complex task in everyone's best interest.
Jason Charles Parker set about to 'ravage' clients' savings 'without remorse,' arbitrator states
How do firms and brokers or executives continue to make the same sorts of mistakes while Finra and the SEC consistently miss the transgression?
Despite the president's assurances that 401(k) plans would remain as they are, House Ways and Means Chairman Kevin Brady doesn't rule out changes to the retirement accounts.
Investor advocates fear brokerage firms may seek to overturn Finra's rule banning class-action waivers in customer agreements.
Hester Peirce and Robert Jackson Jr. believe the brokerage regulator's conduct in this area should be improved.
'We have a process. They have a process. We have to respect those,' chairman tells SIFMA annual conference.
Target-date funds are the most popular qualified default investment alternative.
These positions are valuable to advisers, who can take steps to mitigate or eliminate conflicts.
Clients with unwanted policies might be able to sell or exchange them for better policies.
Fiduciary concerns under ERISA include cost compression, product development and regulatory pressures.
GOP reportedly had been considering reducing the cap on the annual amount workers can set aside for 401(k)s.
On plaintiff group's agenda: Establishing unpaid arbitration award pool and ensuring SEC doesn't 'water down' DOL fiduciary rule.
New York Times reports reps may have incentive to push higher-fee managed accounts.
Fidelity and Voya prevailed in similar pay-to-play cases this year against 401(k) record keepers.
Annual open enrollment season offers chance to defang drug expenses.
Suggestions for uses range from establishing funds for harmed investors, those whose arbitration awards go unpaid or giving it to the Treasury Department.
Financial advisors have an opportunity to redefine their value and their role in clients' lives through deeper conversations that lead to meaningful connections and increased client confidence. This guide can help advisors gain a better understanding of the powerful relationships and interests that influence an individual's decision-making and life goals.
T. Rowe's largest holdings in U.S. stocks are Amazon, Google, Apple, Microsoft and Facebook.
