Updates for the latest version include features on client goals, life expectancy, household risk tolerance, health care and Social Security.
Regulators are continuing their push for industry-provided data to improve compliance oversight.
If the Fed takes rates into negative territory, it might actually be able to raise rates faster and higher
David Randall Lockey, who had worked for SWS Financial Services, now known as Hilltop Securities Independent Network, is named in the complaint
It pays to understand any governance structures already in place to ensure they meet expectations for every type of client.
House Speaker Paul Ryan has charged into the debate in the last few weeks with arguments echoing those of the financial industry.
PIABA wants Finra to create a national recovery pool funded by brokerages.
Distribution of more variable annuities in an advisory rather than commission environment could play out as a result of Labor Department regulation.
The U.S. Securities and Exchange Commission for the first time acted to enforce new rules placed on state and local government financial advisers, alleging that a Kansas firm breached its fiduciary duty by reaping undisclosed fees from the underwriter of its client's bond offerings.
Agency brought 126 actions against more than 230 adviser or company defendants in 2015, about 15% of the total enforcement cases last year.
With the Labor Department's fiduciary rule closing in on finalization, some lawmakers still question potential costs of implementing the measure.
Mr. Thibeault pled guilty to misappropriating around $15 million from the GL Beyond Income Fund.
Rule requires transferring brokers to send an “educational communication” to clients they are trying to convince to make the move with them.
Unit will develop 'new tools and techniques' to strengthen risk analysis and surveillance.
Two top Republican senators claim the fiduciary rule is premature when the agency is still studying how Americans save.
An exam can be demanding and time-consuming, but it will go smoother if you prepare for it in advance. </br><b><i>(Plus: <a href="//www.investmentnews.com/gallery/20160311/FREE/311009999/PH/sec-exam-cheat-sheet" target="_blank" rel="noopener noreferrer">10 tips to survive an SEC exam</a>)</b></i>
Commissioner Kara Stein concedes agency is unsure how it will apply a best-interest standard to digital advice platforms.
The Financial Industry Regulatory Authority Inc. barred a Phoenix-based broker for making 12 unsuitable recommendations regarding debt instruments known as debentures.
