Insurer's policies for locating annuity customers resulted in errors in accounting for reserves, SEC says.
Christopher Stanford and Matthew Douglas are joining the employee unit
Regulator says trading app's order-flow procedures failed to guarantee clients received best prices
Clients likely will want to reduce tax burden on inheritors given law's limits on 'stretch IRAs'
Intelligent Income will help manage withdrawals across an investor's retirement accounts.
But residents of high-tax states shouldn't get excited — the measure is dead on arrival in the Senate.
Advisers focusing more time and energy on existing clients can help generate referrals, according to YCharts data
One possible way to improve the solvency of the Social Security system is to boost the amount of earnings subject to the payroll tax.
SEC official: 'Can I demonstrate how I got to this recommendation?'
Self-reporting of regulatory issues by advisers has been a clear weakness.
Regulator proposes allowing people with some professional financial certifications, such as Series 7, 65 and 82 licenses, to qualify as accredited investors
While some plan advisers talk about shifting their focus, few have changed their business models to reflect this new focus.
Suneet Singal allegedly lied about owning a dozen hotels to close a deal.
Tech vendor's texting app can now automatically detect keywords that run afoul of compliance and block messages from being sent.
Advisers like provisions for increasing workplace retirement plans, extending RMD age, but question limits on inherited IRAs
This month's edition kicks off with the blockbuster news that Charles Schwab will be acquiring TD Ameritrade in 2020.
The SECURE Act has several provisions with a favorable impact on annuities. Find out what this legislation means for annuity providers and retirees
The robo combo will make it easier for wealthy investors to own alternative investments in qualified accounts.
Advisers could become clients' first line of defense to keeping their financial lives safe
Panel also ships the SEC amendments to suitability rule to conform with Reg BI
