SEC ruling includes a civil penalty of $600,000 for Ms. Bennett and $2.9 million for Bennett Group.
Here are the main points of confusion among Fidelity's many adviser clients, and some insights that might help guide their strategy.
Once-plain-vanilla funds due for a serious makeover, meaning now is the time to carefully assess cash options.
Advisers should test their emergency plans periodically to make sure they are in compliance with Securities and Exchange Commission rules.
Regulatory experts say there's a strong likelihood advisers would lose the grandfathering exemption granted under the fiduciary measure simply by switching firms.
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>
