Just as advisers are obligated to fulfill fiduciary duties, elected officials are similarly obligated when it comes to public policy.
The House Republican approach kills investment-income levies, but the breadth of coverage could shrink.
Some retirement plan advisers see providers' compliance moves as potential competition.
Three new portfolios from Motif Investing promise to refund a monthly subscription fee for underperformance
Ariel Investments wins trademark suit against small Florida RIA with same name.
Division bulked up under Mary Jo White, but is already curtailing expenses as it awaits new budget
Resolutions to overturn the rules only require a simple majority to pass, and aren't subject to a Senate filibuster
Frank H. Black and his firm, Southeast Investments N.C. Inc., failed to retain business-related emails and to achieve compliance with applicable securities laws, according to the Finra panel's decision.
The regulator's acting chairman says he prefers that agency employees conduct exams.<a href="http://www.investmentnews.com/article/20170306/FREE/170309954/sec-enforcement-unit-bracing-for-budget-cuts-under-trump" style="color:#b10816" target="_blank">​ <i><b>(More: SEC enforcement unit bracing for budget cuts under Trump)</b></i></a>
If nothing else, the dollar amounts should be adjusted for inflation.
Two experts on retirement law square off on the question of fiduciary duty for 401(k) plan sponsors. One believes employers aren't best-suited for the responsibility, while the other believes the current system is OK.
The FAQs encourage investors to press their advisers about whether they are fiduciaries.
The incident introduces yet another example of how not to use social media.
The firm will make a final payment to investors who bought promissory notes issued by MedCap, a $1.7 billion Ponzi scheme sold mainly through independent broker-dealers.
Survey finds questionable return assumptions amid rising confidence.
Those making between $50,000 and $200,000 see the biggest tax cut as a share of after-tax income.
A shrinking agency is targeting those it deems most likely to dodge their taxes.
Building a successful defined-contribution business is much different than growing one focused on individuals.
President Trump did not mention it in his speech Tuesday, and a replacement bill is not getting the support it needs to make it through Congress
