Risk management software is getting a lot of attention following the new requirements introduced by the DOL fiduciary rule.
Legislation calls for employers with 10 or more employees that do not offer retirement plans to open IRAs for employees and contribute 50 cents per hour worked per employee.
After posting a surplus the year before, Finra's CEO says expenses for data migration to 'cloud' storage are partly to blame for 2015.
Conservatives and liberals alike have stepped up criticism of the brokerage industry regulator.
The firm is building out digital ecosystem of its own with partnerships with Jemstep, SigFig and Vanare.
Cybersecurity is a major concern for vendors, firms and advisers.
Facing a crisis without a plan can be detrimental to an adviser's brand; advisers need more than one back-up plan to avoid potential disasters.
Income inequality changing how young Americans have families.
Such a strategy is meant to reduce the appearance of a conflict of interest when using commission products in retirement accounts.
Such a strategy would aim at levelizing compensation, thereby dodging additional compliance requirements and litigation risk.
The collaboration focuses on the compliance confusion among advisers and broker-dealers caused by the DOL's fiduciary rule.
Confusion could be the rule's greatest by-product due to its broad and somewhat general nature.
New study shows ongoing bills impede savings and boost baby boomers' retirement income needs.
Many professional certification programs have long demanded their advisers act in clients' best interests, and not just when working with retirement accounts.
Simply playing the fiduciary card to win over investors may not work the way it did in the past.
Already expected to spur consolidation among broker-dealers, the DOL fiduciary rule could also hasten RIA mergers.
Plus: Oil is low and going lower, active managers get bested by a cat, and what you can learn from your rich neighbors
Parties will now have more time to prepare for a hearing and be able to take depositions, but concerns of fairness remain.
Ever since Congress created Roth accounts, savers have faced this quandary. Now new research answers the question.
