Understanding how you work with your technology today will ensure you understand the impact of the changes you are planning.
Commonwealth Financial Network managing principal John Rooney says a combination of higher costs and less revenue, thanks to the DOL fiduciary rule, will cause widespread consolidation of independent broker-dealers.
Plus: You ain't seen lame until you've seen Congress next year, money manager M&A peaks, avoiding financial fraud, and how the rich get and stay rich
Bracing for the highs and lows of cannabis-industry stocks.
Regulator focuses on potential violations regarding misrepresentations, suitability, and supervision
Broker-dealer agrees to a $1.4 million fine and will return investor money on approximately 2,000 sales of nontraded REITs. Firm also settles with states regarding leveraged ETFs.
The bank pledges to accelerate restructuring through deeper cost cuts and by eliminating an additional 2,000 jobs.
Few have planned for such care, but 70% of 65-year-olds will require it in their future.
Single female homebuyers are poised to make a comeback, particularly in cities where their salaries are rising faster than those of single men.
Advisers were pleasantly surprised by the tax package that will provide them more certainty when planing long-term for clients.
Financial advice is among the least diverse industries in the country and is doing little to change its status.
Fund industry worries about fallout from results of SEC exam sweep on distribution fees.
Robert W. Cook, the former director of the division of trading and markets for the SEC from 2010 to 2013, will take over the reins of the brokerage industry regulator.
More than half of Americans are still at risk of being unprepared to completely cover essential living expenses in retirement.
Plus: Most consumers are optimistic about improved household finances next year, embracing a contrarian investing strategy, and what the Dow was like in the beginning
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.
MLPs move back into the spotlight for patient investors
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.
