Firms may be losing the battle against the Labor Department's fiduciary rule for retirement advice, but they are still framing the debate around it — to the agency's chagrin.
Put simply, we focus on countries that we deem to be fundamentally strong but, for one reason or another, are out of favor with investors.
Finra has been unable to find a way to ensure investors get paid what they are owed.
The deal in Westport, Conn., builds on the RIA's presence in New England.
The adviser and radio show host had challenged the right of the SEC to use administrative law judges to hear cases such as his.
The firm is on the verge of buying Foothill Securities, an adviser-owned firm with 220 registered reps under its roof, according to two industry sources.
Investment adviser and talk radio host Ray Lucia Sr., whom the SEC had fined and barred from the industry for allegedly misrepresenting a retirement investment strategy may have received a boost in the form of a split decision on his appeal.
In many cases, financial advisers feel more strongly about keeping a candidate out of the White House than voting one in.
The Invest in Others Charitable Foundation and <i>InvestmentNews</i> have recognized the philanthropic efforts of 15 advisers and 10 financial firms.
Filing late used to be difficult and costly to correct, but new rule alleviates a lot of the pain.
New regulatory environment calls for a more holistic evaluation process.
Health-care costs are “the great unknown of retirement” for many advisers.
Plus: Trump would dump Yellen, bracing for the next housing bubble, and 401(k) realities that should not be ignored
Purchase of Wall Street Financial Group is the firm's ninth and second in as many months.
Plus: The dirt on negative bond yields, long-term investing in a short-term world, and switching banks
The DOL fiduciary rule and competition from robo-advisers will continue to result in pricing pressure.
Management will be rewarded for beating the S&P 500, a first for the growing industry.
Creating after-tax wealth &mdash; what really matters for taxable investors &mdash; will require more diligence than ever.
