Familiar financial giants are doing well attracting investor assets on digital platforms
Advisers will need to be able to demonstrate they are recommending low-fee and high-performance products.
In an 81-page ruling, Chief Judge Barbara M.G. Lynn of the Northern District of Texas, shot down each of the major arguments submitted by industry trade groups. <b>Plus: <a href="//www.investmentnews.com/article/20170208/FREE/170209909/justice-department-seeks-stay-in-dol-fiduciary-rule-lawsuit"" target=""_blank"" rel="noopener noreferrer">Justice Dept. seeks stay in DOL rule lawsuit</a>)</i></b>
Resources Investment Advisors also has affiliate retirement-focused advisory firms with $6 billion in assets, but it's uncertain whether they will follow suit and depart LPL.
Carson ends a 28-year relationship by moving his firm from LPL to Cetera.
A looming fiduciary rule, combined with regulations limiting product sales, have experts predicting more consolidation is inevitable
After a tough first month on the job, Dan Arnold will need to be in "damage control mode" as he faces analysts and investors for the first time, according to an industry recruiter.
Brian Ourand admitted taking $250,000 from the former heavyweight champion and $500,000 from former NBA star Glen Rice and at least two other pro athletes.
Study finds worker happiness declines, stress increases after first-year honeymoon
Putting fresh money to work in today's market can be particularly worrisome, with the S&P 500 currently selling for 21 times its past 12 months' earnings.
Twenty-one firms have responded to a Jan. 19 letter challenging them to resist the Trump administration's efforts to stop the regulation, Ms. Warren told Acting Labor Secretary Edward Hugler.
Buyers may find that the path to acquiring the scale they want is much more achievable than they thought.
Firms would be better off with shorter, more frequent sessions for employeees
Almost half of advisers haven't slowed their compliance plans despite talk of delays
An order aimed at reducing regulation and controlling regulatory costs could sow confusion over issues such as executive compensation and the fate of planned rules affecting employer retirement plans.
It's important to know how to evaluate fund strategies to determine whether managers embody skill, conviction, opportunity and patience.
The level of trading was unsuitable for the client given her age, risk tolerance and income needs, according to the regulator.
Most Republicans have one, but just 38% of Democrats do; two-thirds of parents with young kids are intestate
Defined contribution plan participants who mix strategies “seem to be conducting reasonable investment practices,” according to new research from Vanguard.
Says his name and likeness were undervalued at death; "What about Marilyn?" his attorneys ask
