Regulator augmented fine proceeds with $20 million from reserves to bolster technology, examination program.
From algorithms to hidden settings and photo filters — you only think you know everything.
SoFi reportedly did not provide advanced notice before swapping Vanguard funds for proprietary ETFs.
Asset aggregation and CRM tools added to third-party exchange for advisers.
Shelley O'Connor will now head the firm's bank units, while Andy Saperstein will be sole leader of wealth management.
Regulator says James E. 'Jeb' Bashaw borrowed $200,000 from a client in 2013 without telling LPL.
Office of Financial Innovation to help regulator keep pace with technology.
Effort off to fast start with bipartisan House support, but skeptics questions annuities provision.
Firm describes new tools as "easy button" for small advisers.
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
Lower withholding and the loss of state and local deduction throw many for loop.
Advisor Group's independent broker-dealer network in the U.S. has more than 7,000 advisers.
Firms don't need to completely upend the way they do their work and serve their clients to benefit from new ideas.
The bank's shares have fallen 3.1% since CEO Tim Sloan resigned, compared with a 6.5% gain for the KBW Bank Index.
Retirement-age workers' participation rate in the labor force has cracked the 20% mark
Observers think Congress would need to address Social Security's funding levels and offer enhanced protections for the concept to work.
But arbitrators said 30% of the fault lies with the 'negligent' claimants.
Let's work together to make technology a friendlier place for everyone.
Retirement reserves extended one year; disability fund by 20 years
