Advisers should test their emergency plans periodically to make sure they are in compliance with Securities and Exchange Commission rules.
Online users now require cell phone for text message verification.
Regulatory experts say there's a strong likelihood advisers would lose the grandfathering exemption granted under the fiduciary measure simply by switching firms.
It turns out that the explanation, which advisers need to watch out for, was rather simple.
Most proposed solutions call for higher taxes on high earners.
Under the SEC, pay-to-play rules kick in for RIAs who contribute to a candidate for office who could influence the selection of an adviser for state accounts.
The firm is selling a majority stake of NFP Advisor Services to funds managed by private equity shop Stone Point Capital.
The national advisory firm works with institutional clients such as defined-contribution and traditional pension plans.
First-quarter profit nearly double what the company posted in the previous quarter.
Not all charities are created equal, and advisers shouldn't relinquish their role as stewards of their clients' wealth by avoiding philanthropy discussions
Labor Department's regulation will not take effect Dec. 1.
The independent broker-dealer is paying restitution for failing to waive sales charges for some retirement plans and charitable organizations, according to Finra.
WestPark Capital CEO Richard Rappaport says Newport Coast Securities is closing and that he is being selective in who he hires from the broker-dealer.
Lawsuits filed against the Labor Department's regulation expose conflicts in financial advice.
Attempt to override the presidential veto of an anti-DOL fiduciary rule bill was used to interrupt a protest demanding action on gun-control legislation.
The adviser-owned independent broker-dealer is in “serious discussions” to be acquired by a larger firm, with LPL, Cambridge, and others as potential suitors.
Unless firm can spend $200,000-plus a year, don't keep most compliance functions in-house.
The regulation, which offers states a route to avoid liability under ERISA, took its final step toward finalization.
The share of those over the age of 65 in the labor force was 19.4% on an unadjusted basis in June, up from 15% in June 2006.
Auto payment can help limit the chance of coverage lapses and reinstatement penalties down the road.
