Millions could not access online trading accounts Wednesday morning, but institutional clients remained unscathed.
<i>InvestmentNews</i> research delves into software, tools, robo-advice and big data to discover priorities of independent broker-dealers this year and in 2018.
The asset classes may be more different than alike, which can benefit investors.
Legislation would restore Obamacare cost-sharing subsidies, which Trump said last month he would cut off.
Some providers are paying incentive compensation to representatives to promote their managed accounts to participants.
Owners of marketing firm Platinum Advisor Strategies deny trying to terminate Robert Sofia without compensation.
Chairman says it's important that the SEC be involved in coming up with a fiduciary standard that will make investors happy.
Wall Street crowd might consider moving to avoid a potential tax hike under congressional proposals.
Technology and regulatory pressures are pushing advisers toward model marketplaces.
Wirehouses are making big bets they can turn "world class" advisers who leave into old laundry.
Smaller shops have benefited from the broker protocol at the expense of larger firms like UBS, experts say
Supporter of regulation calls the postponement 'an effective repeal of the rule.'
White House and the bureau itself both say the law is on their side over who gets to name new chief.
Gains are unlikely to top 5% annually, according to the Yale Endowment's David Swensen.
Current rules require different standards based on whether advice is 'incidental' to a transaction.
Experts ponder what a Securities and Exchange Commission fiduciary rule will look like, and whether it will help unify requirements across agencies.
Use of collective investment trusts by defined contribution plans has been hovering around 20% for three years, but momentum is building.
The reasons for affiliating with a brokerage have changed as compensation has evolved.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
The laws underscore the need for advisers to have clients consider a long-term-care planning strategy
