Complaint alleges the decline in the stock cost plan participants an estimated $135 million.
National Association of Fixed Annuities puts focus on 5th Circuit Appeals decision to kill regulation.
LPL terminated registration of Sanders Spangler for violating company policy.
Its routing of customer orders to electronic traders triggered $42 million fine from New York state.
Financial advisers, firms should not make any dramatic changes until the direction of this giant fiduciary ship is on a clearer course.
BDC reform was tacked onto the $1.3 trillion appropriations bill signed by Trump on Friday.
Fired over a fraud charge, Michael Giokas refused request for information.
As part of settlement, bank admits it inflated claims about number of retail orders routed to its dark pool, called "Instinct X."
Groups seek to restore deductibility for advisory fees and expand eligibility for pass-through benefits
Allianz Life Insurance Co. of North America shed the most money on the indexed side, and Prudential Annuities on the variable end, both losing more than $2 billion in sales year-over-year.
Much hinges on whether the Labor Department appeals the 5th Circuit decision by April 30.
Finra barred Matthew Cochran for opening accounts held by 98 customers in trading ruse.
Judge says Howard Present, who led ETF portfolio management firm, was 'reckless.'
The fiduciary rule may be taken off the books as a result of the ruling, and an SEC fiduciary standard wouldn't cover products not registered as securities
It's the fourth time a retirement-plan record keeper has prevailed in a lawsuit scrutinizing fees received from Financial Engines.
Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
CEO Robert Cook says three examination teams may be consolidated.
Kenneth Mathieson's one-year suspension for outside activities cut to six months.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
Record payouts relate to information that helped the agency win a $415 million settlement in 2016
