RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
The company believes the move will help advisers compete for business.
Elderly fraud often involves professional firms and companies, including banks, financial advisers, insurers and law firms.
Bill to include expertise, experience criteria faces difficult legislative prospects
Bill to include expertise, experience criteria faces difficult legislative prospects.
Organization seeks more support from members for political efforts.
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Republicans objected, saying it was a move by Democrats to delay Reg BI
In the meantime, the organization is checking backgrounds of CFPs one-by-one as they renew their credentials.
Republicans objected, saying it was a move by Democrats to delay Reg BI
FIA sales took off shortly after the demise of the DOL fiduciary rule.
FIA sales took off shortly after the demise of the DOL fiduciary rule.
PIABA report charges systematic abuse of the procedure for clearing brokers' disciplinary records.
Commission adds Cetera Advisor Networks to an earlier lawsuit alleging overcharging of funds.
The scheme caused more than 7,000 retirees and other investors to lose money
Commission adds Cetera Advisor Networks to an earlier lawsuit alleging overcharging of funds.
Measure, catalyzed by Form CRS, likely to advance on party-line vote.
Measure, catalyzed by Form CRS, likely to advance on party-line vote.
