Financial advisers say the move will leave their clients vulnerable and sets a bad industry precedent.
Washington University in St. Louis joins other colleges that have prevailed in court.
Goal is to 'create a single point of accountability for the examinations of firms'
Five deals in five months lift the fledgling hybrid RIA to $5.5 billion.
Your statements to an auditor could come back to haunt you should the issue escalate.
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Kudos to the NAIC for making LTC policies safer.
Encourage clients to review their drug coverage and Advantage plans for 2019.
Action comes as SEC continues crackdown on low-priced securities.
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
Regulators are done warning firms about data security and Voya receives a first nip.
The insurer, which recently doubled down on a strategy to encourage healthy living among life-insurance clients, is now doing the same on the LTC side.
Reliable Wi-Fi, previously the domain of U.S. airlines, is becoming a global perk.
New tools calculate costs, potential savings and solutions.
Only $4.9 million in restitutions were ordered during the first half of 2018, down sharply from the $38.1 million ordered in the same period in 2017.
Brokerage executives expect the industry to put up a fight against the rule, which they say will lead to a complex web of compliance.
At a public forum in New York, advisers ask for help understanding how new fiduciary standard applies in practice.
Supporters hope Senate will move similar legislation to increase chances in lame-duck session
Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
