David Edwards of Heron Financial Group says advisers shouldn't be afraid to experiment on the web.
Firms may have to spend more money and more management time upgrading their archiving systems
Meanwhile, asset movement among defined contribution plans was flat.
<i>Breakfast with Benjamin</i> The SEC is poised to wrap up its case against adviser Dawn J. Bennett, despite Ms. Bennett and her lawyers skipping the trial.
Dawn Bennett skips the start of her trial on grounds that it's unfair for SEC to use in-house administrative law judges.
Gov. Chris Christie signed a bill to create a retirement plan marketplace for New Jersey businesses with fewer than 100 employees.
A new online quiz is tougher than it looks.
A combination of increased revenue, including a doubling of money raised through fines, and lower expenses helped Finra significantly increase net income last year.
The rule of thumb for retirement plans during market volatility is, in fact, to do nothing.
This adviser takes a risk by publishing their technology goals for the new year
Advisers should consider whether collective trust funds and separate accounts offer lower expenses than their mutual fund counterparts.
Advisory firm United Capital has acquired FlexScore, an online platform that produces a single number to represent a consumer's financial health.
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.
