Regulator also pledges more transparency in settlements.
GRP, an LPL super-OSJ, would represent the latest in a flurry of acquisitions for Hub.
Group confirms it won't dissolve local chapters, and will begin transition with two-year beta test.
Trade groups asking for delays or softer versions of the new code for CFP holders.
Veteran executive departs financial services for a whole new industry.
She's willing to advocate for additional compliance time if firms have made a good faith effort.
David Ahlquist joins employee unit's Greenway Plaza office in Houston
The inability to access data on plan participants interferes with efforts to customize their benefits and investments
Wealth managers risk losing key clients and sacrificing business leads if they don't work with 401(k) plans.
Form CRS uses a simplified approach to help clients more fully understand the terms of their relationships with advisers
The new tool will generate a basic income plan that combines guaranteed fixed annuities and traditional asset management models.
Independent firm led by Michelle M. Merkel makes the switch after 26 years with Principal Securities.
Tax incentives fuel sales and drive share prices up by double and triple digits.
Where you go to hang your hat in retirement is a massive life decision.
Firm reported 'negative net worth' of $17 million last year in recent SEC filing.
Agency director says investment advisers must mitigate or eliminate conflicts.
The purchase of the Phoenix-based RIA adds $283 million in AUM
Sandler O'Neill is a leading investment bank in the financial services industry.
A top critic charges the SEC head with 'gamesmanship' and creating a 'false narrative.'
Experts in giving advice to those saddled with student debt recommend this approach.
