It behooves plan advisers to pay attention to their asset-management partners, because advisers rely on them for marketing and practice management support and guidance.
Brokerage firms, the group most affected by a rule delay, would likely put off big projects around adviser compensation and trimming investment products.
They will have to decide if the signing package they are being offered by LPL makes sense. A lot is hanging in the balance.
Agency says manager overcharged funds $1.5 million
A fiduciary process involves a full understanding of what should be done, rather than what can be done.
Says states need to take the lead in securities investigations as Trump moves to cut back financial regulation.
The deal, part of which is based on the advisers and revenue that eventually will move from NPH, could potentially cost LPL $448 million.
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.
They do not believe the cuts will do much to help economy next year.
Kansas-based firm managing $340 million had been affiliated with National Planning Corp.
George Dahl appeared at Finra hearing but did not provide requested testimony.
Several strategies can cover the gap to help clients claim a bigger benefit later
Saber rattling is cause for concern, but advisers are not making wholesale moves in client portfolios.
From Dow Chemical to Morgan Stanley, corporations are cashing in on overseas demand to pump up profits.
Funding a child's college education shouldn't blow up their retirement.
Why dividend-paying stocks have a place in any well-diversified portfolio.
Eighteen-month postponement further clouds the future of a fiduciary rule.
Paul Lang joins firm's employee channel in Roswell, Ga.
