The measures, which include revising the accredited investor standard and safeguarding those who report elder financial abuse, head to the House floor but face varying degrees of difficulty in the Senate.
President's order directs agencies to write new rules for insurance.
Indexed and variable annuities are likely to get a big bump in sales if the rule is delayed until July 2019.
Given the stark decline in the number of brokerages over the past 10 years, the chief regulator is looking for 'steps we can take to create an environment to help small firms be successful.'
The agency is working toward a goal of examining every RIA at least once every five years.
London-based European Wealth Group is acquiring the U.S. independent broker-dealer, which has about 200 reps and advisers.
President would argue middle class stands to benefit from corporate tax cuts.
Kenneth Neuner, terminated by Summit Brokerage, was an arbitration no-show
Preston Rutledge, the senior aide on the Senate Finance Committee, could become the next DOL assistant secretary for the Employee Benefits Security Administration.
Decreasing the number of loans that can be tapped at once is just one way to lower 401(k) borrowing.
There are still many obstacles, especially for retirement plan advisers within independent broker-dealers.
Jack McBride allegedly wrote checks to a client to cover margin interest charges, while Stuart Pearl allegedly made unsuitable recommendations.
How the Nobel Prize-winner's theories have boosted participation in retirement plans.
MAX platform offers access to products from BlackRock, Morningstar, Direxion and others.
Overlooking price discounts and pushing early rollovers can land firms in hot water
There are alternative ways to fund long-term care if you need it, even if you’re not a millionaire
Top 10 reasons why it's time to 'break up' with projected policy values.
The so-called 'safe' investments have a few quirks that make them much different beasts from money market funds.
The BENES Act would streamline enrollment, minimize coverage gaps and help seniors avoid paying costly penalties for missing deadlines.
Indispensable advisers know how to overcome the three biggest pitfalls of technology.
