NAPA's Brian Graff says bills instituting a financial transactions tax and changes to workplace retirement plans could have a big effect on advisers, participants.
James Bylenga declined to take part in an inquiry into his conduct.
Broker-dealer's claim involves insurer's decision to stop paying trail commissions.
The Trump administration and Congress are considering limits on debt allowances as well as clearer repayment options in federal programs.
LPL terminated Scott Klor in 2017 for violating firm policies.
One-page document would crystalize costs highlighted in Form ADV
Adviser seeks $10 million in damages in dispute over copyrighted sales materials.
Plan would require wealthy investors to pay capital gains tax on appreciation of their assets each year.
Allison H. Lee could arrive just as the agency is finishing its advice reform rule, or get stuck awaiting Senate confirmation.
Further action appears unlikely with legislature set to adjourn April 8.
The case, the first to address the issue of ERISA pre-emption, is a positive sign for other states.
The billionaire Democrat joins list of others calling for higher taxes on the wealthy.
Measure would help small businesses offer plans, require that statements include lifetime-income projections, ease use of annuities in plans and increase the RMD age.
Michael Pieciak details four ways lawmakers can empower investors in 2019, including banning mandatory arbitration.
SEC chairman Clayton says the agency will come to an agreement with the industry over what information to collect on equity trades.
Advisers who don't know exactly what they need to file, haven't done it or haven't invested the resources to do it right can make big mistakes that can be very time-consuming and costly to undo.
Tussey v. ABB, one of the few such cases to go to trial, resulted in one of the largest settlements ever paid by a plan sponsor.
Dennis Gibb admits to wire fraud and falsifying records; agrees to SEC bar.
Agency says Richard Diver's scheme overcharged clients of M&R Capital by $750,000 .
Banker held liable for taking part in scheme to defraud investors.
