The SEC's proposed advice rule and efforts to strengthen Finra will be among the critical areas next year.
On the surface, retirement savers are big beneficiaries, but that isn't the full story.
Overall, broker and adviser movement slowed during the quarter, with 101 teams shifting firms compared to 124 at this time last year.
Enterprise conference focused on how to improve back office tools for advisers.
Even when Finra arbitrators decide that a firm reported inaccurately on a broker's dismissal, they rarely award monetary damages.
Retirement industry stakeholders of all stripes are set to undergo big changes.
Many advisers lack a written succession plan, including 60% of those who will be retiring within five years
But the proposal doesn't create "open MEPs," as many in the industry had been hoping.
Award is the largest penalty for UBS involving the Caribbean island to date.
Bank says the settlement relates to product sales goals that were eliminated in 2016
Marcus, which makes personal loans online, will be pitched to the wealth management division's clients.
Given the way they're structured, UITs are a more targeted approach to investing than mutual funds or ETFs
Advisers say people most likely to participate also meet the income and net-worth thresholds to qualify as accredited investors.
Historically speaking, the worst is behind us.
In the financial services industry, free simply doesn't exist. It can't.
Firm intends to file counterclaim against two brokers who alleged they lost business in the wake of bank scandals.
CFP John Chrin runs as a Republican for a House seat in Pennsylvania; Neal Simon, CEO of an RIA, seeks Maryland Senate seat as an independent.
Microsoft co-founder's holdings akin to 'a major corporation.'
Agency to consider 'regulatory options' by September, same deadline for SEC's advice rule.
Departure by Retirement Benefits Group comes on the heels of IFP's decision to start up its own broker-dealer.
