Brokerage firms would no longer be able to charge reps for supervising nonaffiliated RIAs.
Getting a valuation from a third-party firm can be costly and complex.
Action of Massachusetts' top regulator shows states can put teeth into a rule under review by the Trump administration.
Plan sponsors will get access to Financial Engines' full suite of managed-account services and improved technology integration.
State and federal inquiries promise to drag on for months.
Former head of Cetera Advisors succeeds Ace Forsythe, who's retiring.
Lower tax rates make it more advantageous to fully fund pension plans, often a prerequisite to conducting a pension risk transfer.
Advisers should carefully scrutinize the package they're offered for moving their practice to a new firm.
Plan sponsors are risk-averse, so 401(k) advisers should highlight the benefits of new concepts while trying to minimize the risk, work and costs.
Advisers who have clients' best interests at heart should insist upon the disclosure of actual internal policy costs and performance.
Allowing in-plan Roth conversions and periodic distributions are among the changes plans could make to better serve older employees.
The former CFO at American Realty Capital Properties Inc. was previously sentenced to 18 months in prison for securities fraud.
The DOL fiduciary rule and excessive-fee lawsuits are combining to raise the profile of fiduciary retirement plan advisers.
Mimi Bock recruited from LPL to head Cetera Advisors and First Allied.
The products, also known as structured or variable-indexed annuities, have gained market share, and more insurers are rolling them out.
Mercer pushes total assets over $12 billion as it expands presence in the Southeast.
Tibor Klein also will pay $20,000 fine for trading on 2010 Pfizer acquisition.
Crooks stole their benefits, but the victims received 1099s for reportable income.
Acquisition expands Northern California footprint and adds $240M in AUM.
Webster Bank will use a hybrid digital adviser to grow beyond the Northeast.
