Agency says manager overcharged funds $1.5 million
Says states need to take the lead in securities investigations as Trump moves to cut back financial regulation.
A fiduciary process involves a full understanding of what should be done, rather than what can be done.
Length of time for measure's review gives SEC, other regulators greater chance to get involved in setting advice standards.
The Financial Industry Regulatory Authority Inc. and FSC Securities last Thursday announced that the firm will pay a $100,000 fine and $492,000 to clients.
Head of New York-based firm led scheme to sell shares at inflated prices, says regulator.
Several strategies can cover the gap to help clients claim a bigger benefit later
Despite what you may have heard or seen, there's a reason why the delete button is hidden — so don't use it.
Eighteen-month postponement further clouds the future of a fiduciary rule.
Looking solely at the median cost of hiring an adviser can be deceiving.
The company may seek to exit its John Hancock unit in the U.S.
Broker-dealers report paying hefty start-up costs and additional ongoing expenses, and are cutting the number of mutual funds they offer.
U.S. stocks? Not so much.
Louis Martin Blazer III of Pittsburgh, Pa.-based Blazer Capital Management was barred last year
Indexed annuity distribution would have been upended in January, but a delay preserves the status quo.
Senators seek clarification on 2-year-old rule that gave surviving spouses certain rights.
The approach leverages relationships with property and casualty insurance brokers.
Ex-AXA broker was fired by firm for misrepresentations in VA sales.
Battle intensifies as DOL seeks to push off implementation until July 2019.
The Apple visionary would get customers to buy the latest product, simplify share classes and create a seamless retirement-plan ecosystem.
