Large, medium and small firms are all on the radar of the SEC and Finra.
Group sent letters of admonition to the advisers for misrepresenting their method of payment as fee-only.
Florida planners will continue legal battle over use of fee-only compensation label.
House Republicans rolled out a tax-reform plan on Friday that would reduce the number of individual rates to three and eliminate many deductions.
Labor Department's principles-based rule raising investment advice standards for retirement accounts gives firms flexibility in how to meet compliance.
Interest group argues the fiduciary advisers it represents provide the type of protections intended by the standard.
The star of a late-night HBO comedy show had some biting words for non-fiduciary brokers, high 401(k) fees and active fund management.
The battle over the DOL rule is now moving into the court of public opinion. <i><b>Plus: <a href="//www.investmentnews.com/article/20160613/FREE/160619978/john-oliver-lambasts-u-s-retirement-savings-system-supports-dol"" target=""_blank"" rel="noopener noreferrer">Advisers react to comedian John Oliver's biting takedown of brokers and America's retirement system</a>.</b></i>
Fiduciaries need to be well versed in these low-cost investment vehicles and how to assess them.
Sudden withdrawal of DOL's Timothy Hauser from a panel at the Insured Retirement Institute conference was a blunder.
Today's complaints against the Labor Department regulation raising retirement advice standards, bringing the total to five, say it will make it harder for Americans to purchase fixed annuities.
Maximizing the potential for positive participant outcomes, and minimizing regulatory and litigation risks, requires close analysis of QDIAs.
Lawmakers express frustration with Chairwoman Mary Jo White's leadership as they grill her on corporate disclosures and a universal fiduciary rule at Senate hearing.
Some of the more exotic ETF strategies may be difficult to defend as being in a client's best interest.
Labor Department acknowledges fiduciaries can apply environmental, societal and governance factors when investing
New guidance amends old rules that had a "chilling effect" on ESG fund use in ERISA plans.
State and federal initiatives are growing dialogue between policymakers, industry and congressmen around the retirement savings gap.
Incorporating robo-advice might make servicing middle market more profitable, Cerulli study says.
Industry blogger Michael Kitces questioned the board's decision to automatically extract a $25 donation when certificants pay annual dues.
The insurer joins other firms such as Fidelity Investments and Ameriprise Financial in settling allegations over excessive 401(k) fees in their own company plans.
