Her position indicates Regulation Best Interest and the larger rule could become final sooner rather than later, but potential litigation looms.
New business is 'harder and harder' to bring in the door, says a senior executive.
Both will now offer more than 500 exchange-traded funds on a commission-free basis.
Issues like the debt limit, trade and oversight hearings pose risks for the financial markets.
Firm expects to spend $135 million on technology this year, more than double what it spent four years ago.
Custodian to shift away from proprietary fintech and focus on adviser-led experiences.
Mattern Capital Management will custody with First Clearing, the operations arm of Wells Fargo.
Martin Kirschner fails to take part in hearing looking into case.
Four-adviser Vilfordi team joins employee arm in Dallas, Texas
Elizabeth Garcia was reimbursed for $9,015 she hadn't spent.
Purchase will allow Morgan advisers to court tech workers as they start to accumulate wealth
Letter cites proposal's 'weak and incomplete' economic analysis.
Insurer partners with DPL Financial's insurance network to distribute annuity products through independent RIAs.
A decade after the custody rule was updated, custody status remains a riddle.
Discussions ended in December because the parties couldn't agree on a price.
Some individuals' benefits will begin automatically; others have to take action.
An InvestmentNews survey reveals the extent of assaults and other offenses financial advisers face, and what some industry groups are doing to address it.
Company won't enter businesses that involve "being all things to all people," such as financial advisory branch offices, Nally says.
The overconcentration of securities was not suitable for some clients, Virginia alleged.
Kitwana Thomas took advantage of employee-reimbursement program.
