A move by the Securities and Exchange Commission to beef up oversight of investment advisers probably will not stop the agency's effort to establish third-party exams for the sector.
How can those suing to quash the DOL rule, like SIFMA CEO Ken Bentsen Jr., claim to also support its premise?
Another item of interest to financial advisers, third-party exams, is also on the docket for next spring.
<i>Breakfast with Benjamin</i> The commission is specifically looking at why some clients are in advisory accounts versus brokerage accounts.
Ryan Parker joins RIA in the latest of many executive departures from LPL in the past few years.
Records of thousands of clients were exposed to foreign hackers, regulator claims.
The plaintiffs and Labor Department are seeking summary judgment for the cases in a Dallas federal court, with a decision possible in October.
The Pohlen Terris and Kasper Group joined the Minnesota office.
More and more professionals who advise on personal matters — from financial advisers to lawyers — are realizing they need to know whether, when, and how to talk about their clients' sexual orientation.
Former Fed vice chairman says he doesn't support litigation over the controversial regulation.
Peter Neuberg agreed to a six-month suspension and $15,000 fine.
Recent 'Last Week Tonight' segment is just one example of the growing awareness of this issue.
Complacency over adopting new technology will only lead to a declining business, technology expert Joel Bruckenstein said at the Morningstar Investment Conference this week.
More companies will invest in technology to help them comply with new regulation, according to a SS&C Technologies Holdings survey.
The departures include top managers and the closure of some funds.
Large, medium and small firms are all on the radar of the SEC and Finra.
Don't let the 'adviser's curse' — the feeling you have to do everything yourself or want to be in control of everything all the time — hold you back.
Group sent letters of admonition to the advisers for misrepresenting their method of payment as fee-only.
Florida planners will continue legal battle over use of fee-only compensation label.
Consumers' trust in financial institutions has fallen to an all-time low. Here's what advisers can do to provide the help investors desperately need.
