RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
GPB's chief compliance officer stole information from SEC during its investigation: DOJ.
Chairman Jay Clayton says Reg BI will help them shop around for best price
The market is hot, but the balance could shift if too many advisers seek a buyer.
James Booth of Norwalk, Conn., faces 20 years in prison.
Chairman Jay Clayton says Reg BI will help them shop around for best price
RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
A new law helps people determine what happens to their digital assets after they die, but the law's provisions only apply if they take specific action
Velox is just one of several new, digital-first custodians to hit the scene recently.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
The company believes the move will help advisers compete for business.
Elderly fraud often involves professional firms and companies, including banks, financial advisers, insurers and law firms.
The bank's stock has barely moved since its scandals began in September 2016
Three moments we shared that made Jud unique and the lessons he taught me about becoming a better businessperson.
Bill to include expertise, experience criteria faces difficult legislative prospects
The bank's stock has barely moved since its scandals began in September 2016
Bill to include expertise, experience criteria faces difficult legislative prospects.
Organization seeks more support from members for political efforts.
The advice industry's future lies in matching our fees with what our clients actually value.
