RCS Capital Corp. is still evaluating Docupace, the SEC- and Finra- compliant paperless processing system used by its retail broker-dealer network, as RCAP prepares to file for bankruptcy.
Galen Marsh, who allegedly called the stolen data “the world's best cold-calling list,” had some of the data stolen from him and posted on the Internet.
New bipartisan legislation would quash a Labor Department proposal to strengthen investment advice standards for retirement accounts.
Black Friday sales come early for buyers of independent broker-dealers as a slew of available firms puts pressure on prices.
Plan sponsors appreciate auto enrollment and qualified default investments, but there are imperfect fits at the individual participant level.
As excessive-fee suits are poised to move down market, advisers should pay attention to teachings of 401(k) suits such as Boeing's.
Steven A. Cohen is poised to make a return to the hedge-fund industry by 2018 under an accord with U.S. regulators that settles allegations that the billionaire failed to supervise a convicted insider-trader at SAC Capital Advisors.
SEC orders the wirehouse to pay $8.8M for what the regulator claims was unsupervised prearranged trading. Brokerage firm Societe Generale Americas also agreed to pay $1M for the same case.
When figuring out how to best engage with clients, age is only one factor that should be taken into consideration
New Hampshire securities regulator claims unsupervised sale to 81-year-old investor was unsuitable and resulted in significant losses.
Some ideas on what to send to clients, and how to do it
Wealth Management President Gregory Fleming says a digital platform could attract younger clients to the firm.
There are subtleties that could have big tax implications.
There are subtleties that could have big tax implications for clients.
This city ranking shows where the difference between the top 20% of wage earners and the bottom 20% is most prominent.
As Facebook offers its workers $10,000 to move closer, other businesses face hurdles before the practice becomes widespread.
As the prime rate set by banks goes up, companies may raise fees or restrict offers.
The author of legislation that would halt the Labor Department's fiduciary rule anticipates the measure will make it at least to the House floor.
Not only would state-run plans undermine existing healthy competitive private markets for retirement plan products and services, but they are not be a good deal for American workers.
Despite what opponents say, IRA rollovers will likely withstand implementation of the fiduciary rule.
