Congress continues to ignore the fact that Social Security's trust fund is expected to run out of money in 2035, which would result in a 20% cut in benefits.
The regulator found that the listing proposal didn’t do enough to prevent fraud and manipulation.
The agency said UBS reps didn't understand the complex product or whether buying it was in a client's best interests.
The acquisition diversifies Prime Pensions' client base and extends its geographic presence.
Spuds Powell defies popular thinking with the niche client base he's built, one that he says makes both him and his clients happy.
The review by Lowenstein Sandler gives no credence to a Georgia judge's critique of Finra's process for selecting arbitration panelists.
Firms are supposed to begin tracking data such as customers’ capital gains and losses starting in January.
The downward trend in the expense ratios that 401(k) plan participants incur for investing in mutual funds continued in 2021.
Don't assume that clients intend to spend their principal in retirement.
Smaller B-Ds and independent RIAs give advisers a platform for more strategic growth as well as a more attentive and supportive environment.
Style often trumps substance for personal finance commentators on social media platforms, though some are blending the best of digital and traditional advice
The acquisition of American Portfolios could bolster the network's revenue and profit margins over time, according to the rating agency.
The provision was rejected as an amendment to the Senate Finance Committee's EARN Act, but it could reemerge in a final bill sent to the floor of the House and Senate.
The 'external system breach' put the Social Security numbers of 2,188 of the firm's clients at risk, according to the Maine Attorney General's office.
There are important things to consider when selecting a platform that researching online or LinkedIn won't tell you.
Workers now see maintaining their current standard of living as their top financial priority in retirement, replacing more lavish plans, according to a new study.
Part of the record penalty imposed last year on Robinhood will be used to help potential future customers protect themselves, according to Finra's annual report on fine monies.
A Finra arbitration panel rules in favor of Erin Daly, who filed a federal complaint against Citigroup alleging gender discrimination.
Relationships with clients are built on trust. Here are ways advisers can help accelerate the trust-building process.
Mikail Qazi and Timothy Martin are joining UBS Private Wealth Management in Washington, D.C.
