The SEC budget request for 2018 projects 1,044 full-time OCIE employees, down from 1,069 in fiscal 2017.
All-public arbitration panel says firm breached fiduciary duty.
Firm censured for inaccuracies and errors in OTC options reports from 2008 through this year.
He doesn't provide details, but says that he shares SEC Investor Advisory Committee's desire to help older investors know their advisers
Fidelity, Aon Hewitt and Xerox HR Solutions are currently defending against similar fiduciary-breach claims.
Brokerage firm's digital marketing investment helps land it at the top of local and overall search engine results, report finds.
Workflow changes are a big challenge of the fiduciary rule, says Aite report
Young workers prepare for a rainy day, while generation X and baby boomers struggle to rebuild their bank accounts.
He will be replaced by Scott Seese, most recently at American Express, and known for being a 'digital disruptor.'
TAMP's Portfolio Target gives advisers an interactive portfolio tool for clients.
FSI and SIFMA criticize broker-dealer regulator for creating standards based on settlements.
The Labor Department's fiduciary rule and pending MEP legislation may drastically reduce entrenched inefficiencies at the smaller end of the retirement market.
The regulator undercuts its investor-protection mission by obscuring the most dangerous firms it oversees.
The funds are catching on due largely to lower costs and more product availability, but come with some inherent drawbacks.
CFP Board revises its standards and aims to beef up fiduciary requirements of certificants.
House Speaker aims to ease doubts about likelihood of major tax overhaul.
Some question whether brokers will drop the CFP mark or if the CFP Board will strictly enforce its new standard.
Personal Advisor Services, four times the size of its closest competitor, combines digital and human touch.
The legal victories come as asset managers are under fire for their dealings with retirement plans.
Those who integrate technology throughout their firm are earning almost a quarter more than peers, Fidelity survey finds.
