Continuity plans are being activated and emails sent out to clients about precautions they should take to safeguard their important records.
Advisers who moved to other broker-dealers after MetLife sold to Massachusetts Mutual are seeing trailing commissions cut on VA and fixed annuity contracts.
Authorities say he and clients made millions trading on secret tips about pending mergers.
Brokers and staff in Baton Rouge, La., move to firm's employee unit.
She cites financial company leaders who have said they are prepared to comply with rule as is.
After a long stretch of calm, market-watchers brace for 'bumpy' ride.
This month's edition kicks off with the big news that Personal Capital has crossed $5B of AUM.
Regular training can help committee members understand their responsibilities to plan participants.
Most industries will go through four stages of consolidation as they mature over a 25-year period. Here's where record keepers and 401(k) advisers stand.
The fee squeeze is at a tipping point, and 401(k) advisers need to adapt by being more diligent in assessing their profit margins and value proposition.
The regulator wields enormous power over the securities industry 
with little meaningful oversight.
Weather events are prompting sales of dams that cost homeowners $8,000 to $12,000, on average.
For someone with kids, both time spent in a nursing home and out-of-pocket costs are significantly lower than for those without children.
The Miami-based broker is also suspended for 15 days
How financial advisers can help clients face the threat of outliving retirement savings
Internal memo details policies that discourage new advisers from using outside registered investment advisers.
Agency says he diverted elderly clients' money to his own accounts
Developing nations' equities poised for their best year since 2009
