The regulator sees difference in compliance levels between W-2 and affiliated advisers, says Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations.
Latest adviser satisfaction study finds most younger investors are dissatisfied.
The brain's limbic system leaves many advisers reacting to client questions about costs in fight-or-flight mode instead of with determined business practices.
Broker in Trinity, Fla., managed $106 million in assets.
But the Labor Department says 'there is little basis for concluding that advisers need still more time before they will be ready to give advice that is in the best interest of retirement investors.'
Financial industry opponents continue their losing streak in court
Big disappointments if $1 trillion spending plan doesn't pan out.
Firms see gains in recruitment, retention and productivity, Cerulli finds.
Regardless of whether the fiduciary rule is ultimately repealed, advisers say it is becoming more popular among consumers.
Robo adviser's president Eli Broverman departs to build new firms
ProFinder not digging up many new clients for financial advisers.
Minneapolis-based RIA manages $515 million in assets.
The commission's March 30 opinion clears the way for Ms. Bennett to move forward with her federal court claims that the agency's in-house forum is unconstitutional.
The full Senate is expected to vote on the nomination later this month.
Agency pushes back implementation date just before April 10 deadline
Under the measure, the April 10 applicability date will be pushed back to June 9.
If your clients are considering private placement life insurance or private placement variable annuities, here's what you should consider as part of the planning process.
New fiduciary standard will lead industry forward regardless of DOL rule outcome.
If you succeed in warning clients away from just one scam or fraud, their gratitude, respect and loyalty will be unsurpassed
