She cites financial company leaders who have said they are prepared to comply with rule as is.
A firm's culture should be embraced and incorporated into daily interactions with clients.
This month's edition kicks off with the big news that Personal Capital has crossed $5B of AUM.
The SEC or Congress should consider forming an independent commission to consider Finra's future.
Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.
Regular training can help committee members understand their responsibilities to plan participants.
The fee squeeze is at a tipping point, and 401(k) advisers need to adapt by being more diligent in assessing their profit margins and value proposition.
The regulator wields enormous power over the securities industry 
with little meaningful oversight.
For someone with kids, both time spent in a nursing home and out-of-pocket costs are significantly lower than for those without children.
Weather events are prompting sales of dams that cost homeowners $8,000 to $12,000, on average.
Many of the cases concentrate on subadvisor fees.
The Miami-based broker is also suspended for 15 days
Agency says he diverted elderly clients' money to his own accounts
How financial advisers can help clients face the threat of outliving retirement savings
The Department of Housing and Urban Development raises premiums, tightens borrowing limits for new loans to seniors.
Finra also suspends the broker, a firm lifer, for 18 months
Arbitration puts blame on client's power of attorney, not firm
Declining fees and record keepers pose strong headwinds, while plan design and participant engagement could be boons for business.
