Other factors include changing client demographics and technology innovation, according to a new survey
N.J. investment representative Gary Scheer was also assessed $750,000 in civil penalties for selling fraudulent investments
Court rules in a lawsuit filed against Intel that companies can't assume employees read the emails they're sent with details about plan investments
The organization's efforts range from state fiduciary measures to the SEC's proposed changes to its advertising rules
Low interest rates are hampering sales, but the SECURE Act and the threat of a market correction could change that
The deal allows the bank to avoid a criminal conviction for its sales abuses
The regulator is probing whether firms are giving customers best execution of trades
A federal judge found that Fidelity was not a fiduciary to the plans at the center of a class-action lawsuit
Agency alleged the advisory firm defrauded clients by misrepresenting returns on strategies
But the advice standard would require brokers to act ‘without regard to’ their own financial interests
The bank will pay about $3 billion to settle the government's investigations into a range of consumer abuses
But little resistance to the deal is expected from regulators, policymakers
The claimants, mostly retirement savers, alleged Pershing allowed the rip-off
The SECURE Act's 10-year window will cause many beneficiaries to spend rather than save, panelists said in an InvestmentNews webcast
The loss is another in a string of setbacks for the firm on deferred compensation disputes
At the center of the complaint is a dispute about which side controls three auto dealerships: GPB or Volkswagen
New approach also would allow previously registered brokers to remain in the industry through CE
A spokeswoman for the Bloomberg campaign says the SEC’s Reg BI ‘doesn’t set an adequate fiduciary standard’
Regulator was investigating Ronald Hannes for taking client funds intended to be used for life insurance
NASAA wants to close the regulatory gap between IARs and other financial advice professionals
