Under Jay Clayton's leadership, the SEC has opted not to hype hedge-fund and big-bank cases.
Elimination of the tax break divorcees get for paying alimony gives them less incentive to be generous to their former spouse.
Some clients could profit from the spread between 2017 and 2018 tax rates.
Brokerage firms would no longer be able to charge reps for supervising nonaffiliated RIAs.
Addition of Deerfield, Ill., RIA expands Chicago footprint of St. Louis-based $12.6 billion RIA.
Action of Massachusetts' top regulator shows states can put teeth into a rule under review by the Trump administration.
State and federal inquiries promise to drag on for months.
Getting a valuation from a third-party firm can be costly and complex.
Plan sponsors will get access to Financial Engines' full suite of managed-account services and improved technology integration.
Former head of Cetera Advisors succeeds Ace Forsythe, who's retiring.
Lower tax rates make it more advantageous to fully fund pension plans, often a prerequisite to conducting a pension risk transfer.
Massachusetts securities regulator says Thomas Riquier defrauded investors while son-in-law supervised.
Plan sponsors are risk-averse, so 401(k) advisers should highlight the benefits of new concepts while trying to minimize the risk, work and costs.
Allowing in-plan Roth conversions and periodic distributions are among the changes plans could make to better serve older employees.
Advisers should carefully scrutinize the package they're offered for moving their practice to a new firm.
The former CFO at American Realty Capital Properties Inc. was previously sentenced to 18 months in prison for securities fraud.
Advisers who have clients' best interests at heart should insist upon the disclosure of actual internal policy costs and performance.
The DOL fiduciary rule and excessive-fee lawsuits are combining to raise the profile of fiduciary retirement plan advisers.
Mimi Bock recruited from LPL to head Cetera Advisors and First Allied.
