Under the SEC, pay-to-play rules kick in for RIAs who contribute to a candidate for office who could influence the selection of an adviser for state accounts.
First-quarter profit nearly double what the company posted in the previous quarter.
Labor Department's regulation will not take effect Dec. 1.
The independent broker-dealer is paying restitution for failing to waive sales charges for some retirement plans and charitable organizations, according to Finra.
Lawsuits filed against the Labor Department's regulation expose conflicts in financial advice.
Attempt to override the presidential veto of an anti-DOL fiduciary rule bill was used to interrupt a protest demanding action on gun-control legislation.
The adviser-owned independent broker-dealer is in “serious discussions” to be acquired by a larger firm, with LPL, Cambridge, and others as potential suitors.
Unless firm can spend $200,000-plus a year, don't keep most compliance functions in-house.
The regulation, which offers states a route to avoid liability under ERISA, took its final step toward finalization.
Labor Department's Tim Hauser discusses fiduciary rule's impact on compensation.
Vermont's regulator found supervisory failures under an EB-5 program helping to develop the state's ski resort
Some have a board mandate to shell out more, while others have been encouraged by seeing their donations enhance their lobbying efforts.
Firms that use the tool will have a way to gauge if clients are invested to their best interests.
Official says few firms are using it, although SIFMA has been a proponent of keeping it alive.
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>
Another reminder of the need to become well-versed on the fiduciary rule's conditions for rollover advice.
Asset managers must expand the depth and breadth of their offerings to become more relevant and differentiated.
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.
