Chairman Richard P. Rojeck explains the Board's disciplinary process and questions why a judge who is not a CFP would be better able to interpret its rules and evaluate the evidence.
No matter how well you know your clients, don't shortcut security procedures.
The regulator wants advisers to develop continuity plans to avoid major disruptions to clients and markets.
There is reason to worry about impact of file-and-suspend strategy on 2016 health-care premiums.
Tweets from around the industry tell the tale of the battle for and against a fiduciary standard for brokers.
<i>Breakfast with Benjamin</i>: Tampa-based fund manager to plead guilty to investment fraud in relation to $9M worth of Facebook stock he purchased then sold and was caught short when the stock price rebounded.
With the firm's latest acquisition of Yodlee, advisers are reminded to take advantage of big data in clients' accounts.
How much progress have you made? 401(k) plans put on the pressure.
Plaintiffs accuse firm of receiving almost half of the management fees while a sub-adviser did most of the work.
Christie promotes reform plan while Huckabee defends the program.
Hacking isn't just on desktops &mdash; mobile devices are the new battleground.
Fidelity finds video is a useful vehicle for timely, targeted messages to emerging investors.
Rep. Ann Wagner and three colleagues on the House Financial Services Committee are seeking additional signatories on letter to Labor Secretary Thomas Perez.
In its sales turnaround, third largest U.S. fund company relies on retention of existing advisers and lower-cost share classes.
Advisers should thoroughly vet every share repurchase offer in light of each client's unique situation
<i>Breakfast with Benjamin</i>: China could stand in the way, as their market struggles create a risk of tightening into a slowing global economy.
The online retail giant's retirement program includes company matches made entirely in Amazon stock.
The legendary singer-songwriter is selling his $24.5 million Waialea Bay property with a five-bedroom beach house, two guest cottages and 830 feet of ocean frontage.
Jobs and wages are rebounding &mdash; time to get those millennials out on their own.
Having a virtual chat room in the office boosts teamwork and productivity, proponents say.
