Move to fee-based IRAs gave consideration to SEC's view of other brokerage accounts at firm.
In the new administration, the regulatory agenda could be largely shaped by the officials she puts in charge of the agencies.
Violating terms of an investment policy statement is considered a fiduciary breach, and the uptick in 401(k) litigation has heightened concern over language that's too prescriptive.
It shows Finra is carrying out its responsibility of regulating the industry and serving as the watchdog protecting the public.
Plus: A big warning from Pioneer Investments, ETF company revenues, and another bleak earnings season ahead
The Labor Department is coming off a big win, but will the judgment have legs in this appeal and the five other suits still pending against the regulation? <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL rule</a>)</i></b>
There are some variables under clients' control that they can use to bring down their total Medicare costs.
Adviser offers firm's experience building a business within the business for younger investors
The Anderson Financial Group will be based in Madison, Wis.
Two industry leaders &mdash; Pershing Advisor Solutions CEO Mark Tibergien and Echelon Partners CEO Dan Seivert &mdash; disagree on what impact the regulation will have on the financial advice market.
When the United Kingdom implemented similar legislation a few years ago, about 40% of advisers simply left the business.
The agency said that for the first time it used a coding technique against a broker-dealer to identify potential unsuitable transactions.
The advice industry is still largely speculating about what lies ahead.
In the first legal challenge to be decided, judge upholds Department of Labor regulation. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The DOL rule, from all angles.</a>)</i></b>
Summit Advisor Services, a turnkey asset management program, was partially owned by an Aequitas venture. That company had been charged by the SEC with running a Ponzi scheme.
The Department of Labor's 24-page document on frequently asked questions on the fiduciary rule inspires even more questions from the advisory industry than it answers.
The firm is eliminating potnential conflicts of interest before the DOL fiduciary rule take effect next year
News of an executive reshuffling at Wealthfront comes at an interesting juncture for the automated-advice space.
CEO says decision preserves choice while recognizing new fiduciary requirements. <b><i>(More: <a href="//www.investmentnews.com/article/20161030/FREE/161029902/broker-dealers-split-on-commissions-in-wake-of-dol-fiduciary-rule"" target=""_blank"" rel="noopener noreferrer">B-Ds split on commissions in wake of DOL rule</a>)</i></b>
