The rule regulated what was already happening within the defined-contribution industry anyway.
Reps. Maxine Waters, Carolyn Maloney express concerns that measure is too weak.
Jon DuPrau and Caspar Tudor join the team in Los Angeles, Calif.
But it could give rise to new hearings for some advisers who are already in litigation with the agency such as Dawn Bennett.
Advisor Group takes 'orphan' broker-dealer off the hands of John Hancock Financial Services.
Billionaire CEO cites the importance of an innovative mindset and a strong company culture
The past year saw the biggest loss of the decade as increases in living expenses outpaced the cost-of-living adjustment.
Investors are hell-bent on industrials-to-small-caps rotation trade
Regulator was investigating Joseph Clottey's compensation irregularities.
Hybrid manages $130 million in Durham, N.C.
Morningstar report: Lack of data on fees, investments makes advice on rollovers costlier and more challenging for investors.
Lawsuit claims insurers 'betrayed' thousands of pension plan participants and beneficiaries.
The move would reflect the bank's effort to cut $4 billion in costs.
Says viewing health costs as a staggering lump sum impedes action and planning.
Colorado broker Dennis Farrah quit firm before state regulators revoked his license.
Association health plans would lack some of the protections required under Obamacare.
Personalized letters to friends and family can help clients resolve personal issues while also explaining their estate plan.
Larry Holley and Patricia Gray are defendants in parallel SEC civil action.
Bank claims Gabriel Campbell took confidential client information
One defendant allegedly used some of the stolen money to commission a song about himself and had it played at a Las Vegas nightclub.
