Advisers warn that plan sponsors could stop offering self-directed accounts over concerns that they will have more fiduciary responsibility for investments.
Questioning whether the city adequately disclosed financial information when it raised money from investors
CFP will use official "sanction guidelines" as it determines what actions to take against its members for particular board violations.
Those with a grievance should be able to make their case in a real court of law
Legislation to limit scope of municipal adviser regulation draws bipartisan support; subcommittee vote Aug. 1
Now that a new federal rule took effect requiring plan providers to disclose certain 401(k) fees, sponsors have until the end of next month to pass the word to participants
It's been nearly two years since the passage of the landmark legislation. So far, the law has translated into precious little reform.
A former Bank of America executive was indicted for allegedly participating in what prosecutors said was a “far-reaching conspiracy” to defraud municipal bond investments through bid rigging
The Financial Industry Regulatory Authority Inc. took a hit as regulatory fees continued to decline and the costs of its ongoing integration with the NYSE rose.
Lewis is latest hire charged with pushing advisers' agenda on Capitol Hill
A new bill in Congress would dramatically raise the fines meted out by the SEC. How dramatically? An individual firm could be hit with a $10 million charge -- per violation.
Finra critic John Busacca has lost a court appeal of a disciplinary case that the regulator brought against him in 2006.
The FSI has fired off a letter to Congress blasting the letter the DOL's Phyllis Borzi sent to Congress blasting Institute
