Rep. Stephen Lynch notes Dodd-Frank provision authorizing SEC to impose uniform standard 'no less stringent' than fiduciary duty.
Asset managers have been providing advisers with sales and marketing support, but plan sponsors may view that as a conflict.
Yields on money market funds, short-term CDs and other cash accounts have risen as the Fed continues to raise interest rates, and this has big implications for advisers.
Membership is growing by leaps and bounds.
The agency charged the adviser with lying to dozens of investors about returns.
New deal takes direct aim at such rivals as Kestra Financial and Cetera Financial Group.
New Jersey is the first state to take action on a fiduciary rule after the DOL rule's death, but experts think other states will likely jump on board.
Yes, I'm a millennial, but clients in 2018 should not have to print forms and mail in checks.
Most leaders at some point have found themselves discussing how to “keep” a certain talented individual from leaving the organization. There are several powerful tools for retention, but which strategies are proven to deliver real results?
The wirehouse has obviously noted its own lack of recruiting success this year, as well as the slowed attrition rates at its competitors that have exited the protocol.
Study reveals only 14% of family offices have diversity targets.
The Labor Department is responding to a recent executive order on retirement security from the president.
Average returns in 2017 double those in 2016, according to UBS and Campden survey.
New regulatory executive Bari Havlik says firms doing things the 'right way' should see a 'lighter touch' on exams.
Louisville adviser Mark Lamkin was terminated by LPL, in part for failing to disclose outside business activities.
Property owners may receive tax credit of up to 90% on contributions to local funds.
General counsel David Bellaire predicts final broker standard in 2019, but not Form CRS.
Investors are a diverse bunch, which should guide the way advisers prospect for clients and deliver recommendations.
Activities cited include suspicious trading, questionable transfers, and potentially false and misleading statements.
Gary Hirschberg's Aaron Wealth Advisors will partner with Dynasty Financial.
