Massachusetts says insurance firm must pay retirees and beneficiaries who were 'presumed dead'
What happens to the survivor if a worker dies before claiming benefits?
The legislation 'has legs' given that retirement policy debates will be front and center in Congress next year.
Disclosure and informed consent can limit services, allow third-party pay.
It's crucial for advisers to kick the tires thoroughly on any potential transition, starting with questions about the firm's capabilities, products, support and financials.
The 13 additional unregistered brokers sold more than $350 million of the Ponzi's notes
How clients are transforming wealth management
Proponents hope bill will be re-introduced early next year.
Regulators are making inquiries into GPB and the broker-dealers that sold their fund shares, according to sources.
The DOL hasn't issued concrete guidance on the issue, but there are hints on how to avoid trouble.
Peter Cho traded derivatives after eavesdropping on conversations about an upcoming deal.
Wirehouse joins handful of other firms seeking to prevent insurer from cutting off flow of adviser trails.
Securities and banking regulators are continuing to focus on anti-money laundering procedures and policies.
Retirement plan advisers can't match HSA investments with 401(k)s because of too few fund options.
New account opening process falls short of what advisers call true "straight-through processing" of new accounts.
States looking for potential partnerships to increase retirement-plan coverage
Learn how an advisor made the transition to independence with an abundance of resources and guidance before, during and after the move.
After a period of decline, the regional brokerage industry is scoring recruiting gains at the expense of wirehouses.
It is vital for companies to represent the people they serve.
