Western International to acquire retail assets of Financial West as Kovack Securities picks up TKG Financial.
Smaller firms are becoming bigger targets of banks, consolidators and larger RIAs.
The fee schedule, developed by state regulators and other groups, details account maintenance and cash management charges.
David R. Humphrey also settled parallel civil charges with the SEC and will pay more than $108,000 in penalties.
Sometimes it is possible to reverse unintended claims.
With less than 20% market share, banks promote safety in targeting high-end RIAs.
The new health care bill and a move to limit retirement savings will both hurt those trying to prepare for retirement
Some opposed to state-run retirement plans argue that these types of plans should be handled by the private sector rather than the government.
Because of the fiduciary rule, broker-dealers are looking to have level compensation across their platforms.
ICI chief executive Paul Schott Stevens is the latest to telegraph the route the financial industry wants the agency to take.
President Donald J. Trump plans to host a series of listening sessions on the tax plan.
Firm takes action against former advisers for allegedly violating terms of promissory note
Whether it's for financial, social or mental health reasons, Americans are opting to work part-time in retirement and advisers are helping them figure out how to do it.
In latest dispatch from the retirement front, InvestmentNews' contributing editor mulls health insurance, estate planning choices.
Senators seem intent on writing their own bill, a process that could delay a final law until the end of the year.
Hypothetical "Zenvestr" would work mostly through an app.
Paul Schott Stevens says prospects for a delay are 'uncertain' and that the rule 'is already causing great harm.'
The new firm, Executive Wealth Group, will custody assets with Raymond James.
The DOL rule that requires acting in clients' best interests will apply to these accounts.
If signed by the president, as expected, the resolution likely would have a 'chilling effect' on development of such retirement plans by states, due to the loss of the ERISA exemption.
