The regulator releases its priorities for the new year. Topping the list are firms' compliance culture and conflicts of interest.
<i>Breakfast with Benjamin</i>: The specific things to watch for in today's jobs report that could influence the Fed's decision on interest rates.
Brian Kovack wants to make the organization more effective without antagonizing firms that are doing the right thing
In the midst of one of the most disruptive periods in the history of the industry, embracing change is key
Chairwoman White testifies before Congress about next steps and factors to gauge investor sophistication.
Lawmakers want Defense Department to step up efforts to protect finances when military are overseas.
The advice industry spends a fortune trying to build better, cheaper mousetraps to allow consumers to invest efficiently but the impact is not important in the context of most people's lives.
It's a familiar scenario. After months (and in some cases years) of contemplation, research and discussions, an adviser has finally decided to switch firms. The adviser is ready to engage with the prospective firms and their recruiters. Now what?
<i>Breakfast with Benjamin:</i> Another debate full of heated clashes &mdash; including with the moderators &mdash; but the candidates who rose to the top were not the usual suspects.
<i>Breakfast with Benjamin</i>: The economy has historically done better with a Democrat in the White House. Why that is remains a mystery.
What would you say to your 25-year-old self?
The key to success is an even and relentlessly optimistic demeanor.
A new service lets investors grade advisers based on investment performance, which advisers say may put too much emphasis on investing advice &mdash; and maybe even weaken job security.
The question of who 'owns' the client becomes key as firms seek to 'marry' younger advisers to their older colleagues.
Grassroots organization is sponsored by a trade association for life insurance companies.
Even those who backed similar legislation two years ago now support the Labor Department's proposal to change investment advice standards for retirement accounts.
National Compliance Services Inc. and Regulatory Compliance say their product lines complement one another, and together they can meet increased demand as more advisers become independent and regulations proliferate.
With wages stagnant, employers have found something else to attract and retain employees.
SEC says investors lost about $5.5 million in first case against an issuer of structured notes.
The proposed fiduciary standard will have the biggest impact since the deregulation of the securities industry a few decades ago.
