Employee savings rate also hit a record in Q2 at 8.8%
James L. Beyersdorf also will disgorge $232,000 and pay $189,000 in fines.
The ruling could mean plan sponsors can force employees into individual arbitration rather than defend a class-action suit.
Agency will soon issue a rule that will likely require electronic statement delivery unless participants opt out.
Constantly being busy is doing us more harm than good. Here's an approach that helps you prioritize
Commissioners vote 3-2 to issue guidelines on fund managers' responsibilities in dealing with proxy advisers
In one indication of how rapidly the market is evolving, S&P Dow Jones launched the S&P 500 ESG Index in January.
Since the bank began its hunt for a leader to replace Tim Sloan, the stock has slipped into the red for the year
CEO Dan Arnold pledges to help advisers focus on client service.
The wealth management network again reduces its corporate structure as part of realignment.
Bluespring acquires $152.6 million firm in Ohio, Hickory Asset Management Inc.
Some financial advisers are wary of the possibility insurers will sell long-term-care blocks to private-equity firms or hedge funds.
Large firms are well-situated to comply with the cost standards in the SEC's Reg BI given changes they made to prepare for the DOL fiduciary rule.
Backend Benchmarking's latest Robo Report also had positive news for robos offering SRI portfolios
Linde Murphy wins small-firm board seat that was also subject of contested election.
Worker must claim benefits to trigger the spousal benefit for a mate.
The CFP Board should be commended for taking action.
Gregory T. Dean had admitted guilt a few weeks ago in a different case brought by the SEC.
The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.
