Independent advisers and investment clients fared much better than the DOL rule and robo platforms.
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
Pay attention to new rules for the "individual mandate" requirement and the medical expense deduction floor.
The tax-advantaged retirement vehicle has grown in popularity among advisers and clients, despite obstacles.
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Tax experts scramble to understand full implications of the 500-page law which is anything but simple.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Finra says the bank's ratings system was riddled with errors and cost clients money.
Cerulli says 'concern for fiduciary alignment' will color product selection.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
State would require products best suited for clients to be sold over those most profitable to sellers.
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
Finra says Bear Stearns' flawed system led to securities segregation issues
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
John James informed the regulator that he would not give testimony during its investigation into Merrill's allegations.
New platforms provide a curated menu of products like private equity, private credit, venture capital, real estate and hedge funds.
