Actionable disclosure information is central to fulfillment of fiduciary obligations and plays an important role in advancing the profession.
Organization that provides financial services to Christians says it would not be able to use its dispute resolution mechanism if it had to adhere to the new regulation allowing class actions.
Some brokerages know what their new annuity commissions will be in response to the regulation. Why are they staying quiet? <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-faq" target="_blank">The top FAQs on the DOL fiduciary rule</a>)</i></b>
Agencies brought more cases against registered advisers than unregistered entities, and certain products featured in many of them.
Texes securities commissioner claims Jens Pinkernell charged clients nearly $47,000 more than he should have over a three-year period.
Peter Kohli, the CEO of DMS Advisors, allegedly stole money from investors as the funds neared collapse.
Here's a cheat sheet laying out the two main candidates' positions on issues including jobs, wages, taxes, Social Security and retirement.
Three early retirees in their 30s and 40s share how they're making their money last.
Three in five borrowers did not try or did not know how to figure out their future monthly payments, according to a new study.
Should you claim Social Security now to avoid a Medicare premium hike?
The acquisition will expand the firm's ability to sell financial products through Jefferson National's network of 4,000 RIAs.
Some fund share classes could be on the way out, according to a new report from S&P Global Market Intelligence.
Software firm is boosting compliance functions of its financial planning platform. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus " target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Plus: DOL rule puts advisers between clients and target-date funds, big dividend yields for those with a strong stomach, and companies lean toward auto-IRAs
Firms that don't invest in tools to improve the client experience, such as those that allow for frequent interactions with the adviser, will lose out.
Mary Jo White says the commission is reviewing a staff proposal and could vote to move ahead with independent audits.
Michael Dechiario, Thomas Charmley, Thomas Soden, Dean Vetsikas and Stacey Robinson joined the firm Monday.
Brad Weinman joins office in West Palm Beach, Fla., where he'll serve high-net-worth clients.
