The Securities and Exchange Commission may move ahead with "harmonization" of broker and investment-adviser rules before deciding whether to propse a rule that would raise investment-advice standards for brokers. That is creating concern in the adviser community.
New Senate banking committee leader says uniform fiduciary duty should be a priority.
Study finds some confusion over fiduciary duty vs. suitability.
Selecting the right software to work in conjunction with your scanner is key because it helps organize, index and store all those files that have been created.
Research shows plan sponsors turn to referrals from peers to find advisers with whom they would like to work, rather than responding positively to cold calls
Agency is signaling that it first may adjust the rules governing brokers and investment advisers
Timing is key to wringing out the most dollars; magic number
Factoring a child's benefit into claiming strategy can boost family income
Social Security survivor benefits usually continue after late-in-life remarriage
Moves this week by Finra and the SEC signal watchdogs are ready to pounce on anyone overcharging clients.
Advisers can snag accounts, they just can't pitch for them
President Barack Obama nominates former U.S. attorney Mary Jo White to head the SEC. What could it mean for fiduciary duty and the SRO issue? <i>IN</i>'s Mark Schoeff Jr. has the answers.
Insurer agrees to shell out $7.2 million following multistate market conduct exam
Expected to impose higher standard of care on brokers; 'in-your-face disclaimer'
Wife's terminal illness allows husband to plan for a future alone
Improved financial markets and retention money could be keeping wirehouse reps in their seats
Data offer insight into future production of possible signings; what's the OBP?
Ideas on when to evaluate your technology, where to get reserach on new products and the importance of getting to know vendors
