Adviser claims he was kicked off custodian's platform because of his political views.
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.
75-year-old owner Arthur Grant positions the IBD for the 'next 33 years.'
Broker protocol factored into increased breakaway broker movement.
Selecting a very conservative benchmark is generally permissible under retirement law.
Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.
Required policies, procedures give the regulator a way to gauge brokers' follow through on mitigating conflicts.
Firm does more with fewer advisers during the first quarter.
The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.
Trade groups are champing at the bit to have their say in response to the SEC hearing.
The chairman emeritus of Raymond James said his best innovations were born out of necessity.
Commission says a lot of work ahead, public will have 90 days to comment.
Chairman Jay Clayton will initiate momentous action Wednesday, as the commission meets to debate a rule on broker and adviser standards.
Chances of getting sued are more common now than five years ago, says one lawyer.
The agency's challenges mean confusion surrounding tax reform isn't likely to be cleared up any time soon.
Respondents to PIMCO survey say target-date funds offer better value.
Ensure your clients' individual retirement accounts are set for 2018
IRS has yet to fully parse all parts of the Tax Cuts and Jobs Act, which could affect how much in taxes clients owe for 2018.
Broker attended partial day of hearing, then declined to show up for the rest.
