Some in industry fear a data breach that could make list public.
Flows to advisory accounts, while still higher than the start of 2016, dropped off more than 20% from Q2 and were the lowest in a year.
All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.
Charitable deductions are an incentive to giving and a way for advisers to show their humanity.
Government says cybercriminals have found ways to access life insurance and annuity accounts.
Latest disciplinary actions involve insurance commissions, including case of Florida planners who lost a lawsuit e organization.
If confirmed, Preston Rutledge would serve as assistant secretary of Labor and head of the Employee Benefits Security Administration.
The ERISA Industry Committee is seeking an injunction against the program's new reporting requirements.
The case serves as a reminder to 401(k) record keepers that they may be considered fiduciaries even without exercising discretion over plan assets.
Passive investments, already eating away at active managers' assets, are getting another boost.
CFPB has logged more than 72,000 complaints over the past six years.
The measures, which include revising the accredited investor standard and safeguarding those who report elder financial abuse, head to the House floor but face varying degrees of difficulty in the Senate.
Indexed and variable annuities are likely to get a big bump in sales if the rule is delayed until July 2019.
Given the stark decline in the number of brokerages over the past 10 years, the chief regulator is looking for 'steps we can take to create an environment to help small firms be successful.'
The agency is working toward a goal of examining every RIA at least once every five years.
President would argue middle class stands to benefit from corporate tax cuts.
Preston Rutledge, the senior aide on the Senate Finance Committee, could become the next DOL assistant secretary for the Employee Benefits Security Administration.
There are still many obstacles, especially for retirement plan advisers within independent broker-dealers.
Jack McBride allegedly wrote checks to a client to cover margin interest charges, while Stuart Pearl allegedly made unsuitable recommendations.
Overlooking price discounts and pushing early rollovers can land firms in hot water
