Official says few firms are using it, although SIFMA has been a proponent of keeping it alive.
A call for new Finra leadership to be more forthcoming about the board's work.
Shine a light on the many talented, successful women who serve as role models and leaders in the industry.
Auto payment can help limit the chance of coverage lapses and reinstatement penalties down the road.
Survey shows that 58% of plan sponsors found their adviser through a referral.
The future of tax reform and other adviser-related interests are getting attention at the Republican party convention. <b><i>(More: <a href="//www.investmentnews.com/gallery/20160721/FREE/720009999/PH"" target=""_blank"" rel="noopener noreferrer">10 sectors to watch when Hillary Clinton or Donald Trump become president</a>)</b></i>
New study shows ongoing bills impede savings and boost baby boomers' retirement income needs.
Another reminder of the need to become well-versed on the fiduciary rule's conditions for rollover advice.
The laws create the possibility that clients' their long-term-care expenses may be shouldered by their children
Asset managers must expand the depth and breadth of their offerings to become more relevant and differentiated.
Robert Duncan, Bradley Newman and Zachary Breverman opened Duncan-Newman Associates in Agoura Hills, Calif.
Plaintiffs allege the asset management firm populated the retirement plan with proprietary investments for its own gain.
The case, which involved a $9 million plan, was voluntarily dismissed by plaintiffs in an unusual turn of events.
The retirement plan provider joins a list of other financial firms that have settled excessive-fee lawsuits with their own employees.
Forget desktops. The future is about mobile and phones.
Your client's cell phone could be the biggest boost to your business.
Regulator is following up on similar rules the SEC put in place for investment advisers.
SEC complaint alleges Merrill Robertson Jr. and partner promised 20% and took client funds
Now you no longer have to worry about dropping your phone or running out of power.
The asset management firm joins the likes of American Century Investments and New York Life, which were also sued by employees for using proprietary funds in their 401(k) plans.
