Letter directs top regulator Richard Ketchum to do more to stop repeat offenders and the firms that hire them.
Finra's CEO was one of the sharpest critics of the proposed rule, but now he's praising the Labor Department. <i><b>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">Coverage of the DOL rule from every angle</a>)</i></b>
LinkedIn rolled out a new feature this month to help its users find professionals, including wealth managers and Certified Financial Planners.
On tap for 2016: Fiduciary duty comes to fruition?
The first wave of boomers turns 70½ and must start taking distributions from their retirement savings.
Sweep reminds broker-dealers they're going to be held accountable for hiring brokers who prove not fit to work in the industry.
Finding a policy that works in the best interests of your clients not as hard as you think
Advisers should push young clients, or clients with young-adult children, to get powers of attorney governing health care and financial assets.
Even if you have prepared, following a death there are several steps that generally require immediate attention.
Investment-grade bond index has best start to year since 1997.
Set aside that money at the beginning of workers' careers in order to leverage the magic of 50 years of compounding returns in a 50-50 portfolio. Of course, they'd have to pay the money back.
<i>Breakfast with Benjamin</i> The billionaire hedge-fund founder and philanthropist thinks the global economy is going to pot.
Congressional threat to the Labor Department's retirement advice regulation gets nixed by White House, while D.C. court says it will hear a case against the rule.
Roth IRAs offer significant tax benefits, but these transactions are on the Internal Revenue Service's radar.
For any estate where there is no concrete plan, a number of complications can arise.
Choosing between a traditional and Roth 401(k) is essentially a bet on how your clients' future income tax rates will compare to their current rate.
After the firm terminated its relationship with the adviser, it denied him access to client information.
Four states introduce accounts that help families save for special needs children
Plus, one of the biggest shocks to current retirees is the cost of health care, according to a new survey.
Pershing COO says B-Ds are caught in a vise and need help with easing internal expenses.
