An SEC official, whose job is to represent retail investors, has warned the agency not to water down current investment-advice standards as it considers a rule to raise the bar for brokers.
Retirement-oriented managers take top awards; other victors include American Funds, Oakmark and Lord Abbett.
<i>Breakfast with Benjamin</i>: As the equity markets start to wobble, analysts start to claim they saw it all coming.
Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.
Fidelity's te Wildt says Fed will hike slowly, warns advisers on unconstrained bond funds.
Trade group releases report saying brokers 'thoroughly' regulated already with structure in place for 100 years.
It's about time Mary Jo White took the helm and steered the agenda of this supposedly nonpartisan body beyond its present partisan split on fiduciary.
The once sleepy side of the retirement plan fund menu now features a variety of choices.
Partnership could bring more alternative ETFs to advisers.
Massachusetts' top securities cop has filed a lawsuit to stop a recently adopted rule he claims curtails state oversight of stock offerings by small and emerging companies.
Loss of linchpin backer adds to F-Squared's struggle following admissions it misled investors on performance.
3 questions about their clients' goals advisers need to consider
Howard B. Present “acted in good faith” when he led F-Squared Investments, the firm that said it misled clients about its investing track record during his tenure, lawyers for the former executive said in court filings.
Guidelines for three different groups of workers on choosing a tax-smart combination of sources for retirement savings.
<i>Breakfast with Benjamin</i>: HSBC thinks the strong dollar is poised to run out of steam, though it might just be wishful thinking.
Top ETF portfolio builder cuts 40 people &mdash; 25% of the staff &mdash; three months after settling with regulators over false performance claims.
Industry adds jobs in New York City for the first time since 2011.
For professionals working with clients on life and investment choices, it's time for a new category to capture what they do.
Regardless of how the high court rules, ongoing investment monitoring will be here to stay.
Longtime industry exec to use Cetera's First Allied as broker-dealer in setting up OSJ.
