Broker-dealers report paying hefty start-up costs and additional ongoing expenses, and are cutting the number of mutual funds they offer.
Indexed annuity distribution would have been upended in January, but a delay preserves the status quo.
Louis Martin Blazer III of Pittsburgh, Pa.-based Blazer Capital Management was barred last year
The approach leverages relationships with property and casualty insurance brokers.
Battle intensifies as DOL seeks to push off implementation until July 2019.
Ex-AXA broker was fired by firm for misrepresentations in VA sales.
As the comment-letter deadline for the Labor Department's fiduciary rule hits, industry organizations warn of orphaned accounts.
Edward Jones fired James V. Marino for allegedly taking $25,000 from client.
Jay Clayton, chairman of the Securities and Exchange Commission, has a window of opportunity to work with the Department of Labor to establish a consistent best-interest standard of conduct that spans retirement and non-retirement accounts.
Answers touch on how retirement plan advisers should treat certain disclosures about their status as well as recommendations for increasing plan participation and contributions.
The private investigator Ed Butowsky hired to look into the murder of Seth Rich is now suing him and Fox News for defamation.
Brokerage industry dominates investment-adviser sector in political, lobbying spending.
David Grim steps down after two-decade career at agency; new leader has not been named.
Regulator says Ralph Villanueva Villavicencio failed to provide testimony for its investigation.
Consumer groups and American Council of Life Insurers square off over how stringent the investment advice standard should be.
But no fines or restitution imposed because two of the three have filed for bankruptcy.
Securities and Exchange Commission steps up information collection to augment risk analysis.
Income-tax increase on wealthy to pay for middle-class cuts won't encourage growth, says Marc Short, Trump's director of legislative affairs.
