Meanwhile, the Consumer Federation of America complains that the Trump administration has prematurely made up its mind to repeal or replace the fiduciary measure.
Charles Kokesh is appealing a lower court's decision siding with the SEC that gains reaped through securities-law infractions do not fall under the five-year statute of limitations.
Some are flexible and will give clients discounts, while others stand firm and will not bend.
Prospects don't always know what it means to be a fiduciary, but they know what they want to hear when asking an adviser if they are one.
Too many independent firms have minimal communication with their advisers on the pending regulation.
Claiming rules have evolved since 2015 Supreme Court decision.
Advisers need to help RMD clients change the way they give.
Lawsuit alleged brokerage firm misused investor funds in financing the failed Jay Peak ski resort.
Fidelity Investments, the largest record keeper, extended its dominance in 2016.
Any significant changes would likely spur a lawsuit, and the courts have been tougher on regulators when they reverse course on rules after a new president comes into office.
The addition of WealthTrust's $6.4 billion in AUM lifts HighTower's total to nearly $46 billion, a nearly four-fold increase from four years ago.
401(k) plans have changed markedly over the past few decades, through the proliferation of mutual funds and the growth of target-date funds and automatic plan-design features. What's next?
Legendary endowment chides "fee bashers," saying what really matters is net returns. But traditional styles of active management are now available as low-cost index, or smart beta, funds.
The president's advisers have signaled he'll sign a bill to make it unlikely that state auto-IRAs are put into place as well.
New online courses explain crucial retiree health care issues for advisers.
Your tax information is far more valuable than your credit card data.
As a result of the DOL fiduciary delay, the bank said customers could continue to use financial advisers as they had in the past.
Spoiler: The U.S. is not number one.
