Given the stark decline in the number of brokerages over the past 10 years, the chief regulator is looking for 'steps we can take to create an environment to help small firms be successful.'
Preston Rutledge, the senior aide on the Senate Finance Committee, could become the next DOL assistant secretary for the Employee Benefits Security Administration.
Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show
London-based European Wealth Group is acquiring the U.S. independent broker-dealer, which has about 200 reps and advisers.
The agency is working toward a goal of examining every RIA at least once every five years.
President would argue middle class stands to benefit from corporate tax cuts.
There are still many obstacles, especially for retirement plan advisers within independent broker-dealers.
Decreasing the number of loans that can be tapped at once is just one way to lower 401(k) borrowing.
How the Nobel Prize-winner's theories have boosted participation in retirement plans.
MAX platform offers access to products from BlackRock, Morningstar, Direxion and others.
Jack McBride allegedly wrote checks to a client to cover margin interest charges, while Stuart Pearl allegedly made unsuitable recommendations.
Overlooking price discounts and pushing early rollovers can land firms in hot water
Top 10 reasons why it's time to 'break up' with projected policy values.
There are alternative ways to fund long-term care if you need it, even if you’re not a millionaire
Indispensable advisers know how to overcome the three biggest pitfalls of technology.
The BENES Act would streamline enrollment, minimize coverage gaps and help seniors avoid paying costly penalties for missing deadlines.
The so-called 'safe' investments have a few quirks that make them much different beasts from money market funds.
The new CEO takes on a huge acquisition and imposes new rules on incoming financial advisers.
Registered investment advisers and broker-dealers must continue to upgrade their cyberdefenses if they wish to avoid finding themselves in hot water with investors and regulators.
Managing director Lisa Bleier set to testify in Nevada workshop on state's new fiduciary law.
