Both regulators are in the midst of major personnel changes and Congress is headed for an election year.
As key indexes first started going south earlier this month, almost 4 million people contacted Fidelity on January 4 alone, either online or by phone, to check on their retirement savings.
Measure would encourage advisers and financial institutions to report potential fraud, while protecting them from civil or administrative liability.
Tracking the more than $26 billion in AUM that changed firms late in 2015.
The question for next year is whether independent broker-dealers can regain the momentum they enjoyed in 2009 and 2010.
Rising rates should bring a vital cushion to the balance sheets of independent broker-dealers.
For the second time since the credit crisis, noted private equity investor Donald Marron is making a hard charge to acquire the large IBD.
Financial Services Institute supports legislation to replace Labor Department's rule, and is not ruling out a lawsuit if it is finalized.
Plan advisers might not fully understand the rules regarding ESG investments
Mistakes made on this form are low-hanging fruit for the SEC and state regulators.
Will putting iconic fund firm in the crosshairs turn fiduciaries' attention toward overall value and away from fees?
The agency issued guidance to directors saying they should install a process to evaluate whether administrative fees are being used to encourage distribution.
Despite SEC chairwoman's concerns over leverage and impact on individual investors, backers hope legislation will pass because of bipartisan support.
Traditional fixed-income holdings, such as bond funds, may not provide enough meaningful income as historically low interest rates have limited the yields available to investors.
Periscope offers a way for advisers to Tweet with video rather than just words and photos.
Take these steps to maintain your integrity in a social media environment that can get heated.
Provocative article suggests health savings accounts may top 401(k) plans as wealth accumulation vehicle.
The Social Security Administration still has not provided official guidance on coming changes.
There are several retirement-income planning options to consider that can help people save their hard-earned nest egg dollars.
