<i>Breakfast with Benjamin</i> The commission is specifically looking at why some clients are in advisory accounts versus brokerage accounts.
Records of thousands of clients were exposed to foreign hackers, regulator claims.
Tech vendors are getting the spotlight thanks to the new regulation and market volatility.
The plaintiffs and Labor Department are seeking summary judgment for the cases in a Dallas federal court, with a decision possible in October.
In responses to charges it misused customer cash, the wirehouse agreed to the payment and to admit wrongdoing in violations of the customer protection rule.
The firm is developing its first fee-based variable annuity, which many experts say is the future of the product line in the qualified market.
The firm hopes to make it easier for clients and advisers to understand sales charge reductions and waivers.
MetLife is the second major insurer to exit the brokerage business, in the sale of its adviser unit to MassMutual. Mergers may be on the rise due to the Labor Department's proposed fiduciary rule.
Rule advocates say it would save investors $17 billion a year. House Republicans call it 'Obamacare for financial planning.'
Former Fed vice chairman says he doesn't support litigation over the controversial regulation.
Peter Neuberg agreed to a six-month suspension and $15,000 fine.
Recent 'Last Week Tonight' segment is just one example of the growing awareness of this issue.
Mr. Thibeault solicited investors to a fund that reported fake consumer loans.
The move would allow insurers to sidestep additional risk in distributing through independent agents.
Two Finra cases this month alone underscore the efforts some registered reps take to sabotage their company when leaving.
Plus: Soros fights Brexit with scare tactics, what the Queen thinks about the Brexit vote, the smart-beta evolution, and alternative retirement lifestyles
More companies will invest in technology to help them comply with new regulation, according to a SS&C Technologies Holdings survey.
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.
