New tools and platforms should be used to facilitate deeper, more meaningful interactions with your clients.
It's the second university to get a complete dismissal, but lawyers say it's too early to tell if this is a harbinger for pending cases.
Co-head of wealth management Andy Saperstein pointed to a new financial planning program as a way for brokers to capture a bigger share of clients' assets.
The SEC initiative seeks to raise standards and let investors understand the motivations of their adviser, without limiting choice.
55 million American workers without a workplace plan must have the opportunity to get that coverage and start investing. They aren't doing it on their own.
Chairman Jay Clayton says proposal would increase investors' access to research.
CEO Daniel Bryant: 'It's a logical next step for us. This has always been our intention, regardless of what IFP is doing.'
Complaint alleges the firm's policies limit African-Americans' 'income and advancement opportunities'
The elimination of the deduction for alimony payments calls into question existing prenuptial agreements.
SEC commissioner says the Department of Labor rule set up an 'unworkable, impossible set of standards for people to comply with.'
Observers say it's difficult to determine if this is a harbinger of the outcome in the roughly 20 outstanding lawsuits.
Top regulator says the relationship model is different with a broker or investment adviser, but both must put clients' interests ahead of their own.
New owners plan more growth for the software service provider.
As a wave of mergers hits the asset management industry, some analysts question whether the firm should make an acquisition
Agency says Tibor Klein used 'material, non-public information'
Seeking solutions to the obstacles that dampen adviser tech utilization.
Thomas W. Lee claimed Barclays shortchanged him after he guided sale of advisory unit to Stifel Financial Corp.
Becoming an outsourced chief retirement officer could help combat fee compression.
However, it likely won't bar employees from filing 401(k) lawsuits against their employers.
Director Brett Redfearn clarifies how the SEC defines 'best interest' and how it will determine whether a broker is in compliance.
