People near retirement are the most at risk from the sell-off, and advisers have several recommendations for them
The SEC got Reg BI right because it carefully balances consumer protection with investor choice
The company has been sued again over its use of its own products in its retirement plan
The extension gives individuals and many businesses 90 extra days to send checks to the government
IBDs sold more than $22 billion of the high-commission product over the past decade
Samantha Russell of Twenty Over Ten suggests three ways advisory firms can drive more traffic to their websites
Firms admitting their business continuity plans didn’t hold up amid the panic caused by the coronavirus is ‘not a good look’
The case, brought by the SEC, involved undisclosed compensation
The agency charged the firm with misrepresenting how it paid dually registered reps
The Chicago broker had been fired by the wirehouse and previously barred by Finra
Critical services still available over the phone and online
The newer product line has a different approach to asset allocation than most other target-date funds
A broad array of companies is changing calendars due to the COVID-19 virus
The broker-dealer regulator said it is taking action ‘in the interest of public safety’
A market downturn, even one that may turn steep, doesn’t change what investors want from their advisers
Registered investment advisers will have 45 extra days to file ADVs, brochure updates
The commission claims the trio abetted a Ponzi scheme at VisionQuest Wealth Management in North Carolina
The annual event was scheduled to be held next month in Austin, Texas
Broker-dealer regulator says Reg BI will clamp down on sales contests
The company told investors in November that a required audit was being postponed
