Practice

The regional broker-dealer's newest branch manager also worked as a complex director for Merrill Lynch.

In its first day of hearings about the proposed fiduciary rule, the DoL has heard testimony from advisors, legal experts and other industry representatives — many seeking revisions to minimize the ‘burden’ of the rule’s future implementation.

Clients planning to retire with adequate savings are advised to reduce their spending and develop a strategy to lower their tax burden; Plus, how clients should decide on the right 401(k) and are baby boomers too optimistic about retirement?

A week of hearings on contentious fiduciary proposal gets underway as SIFMA chief warns brokers will abandon retirement market if rules take effect.

Employees may express interest in annuities, yet few retirement plan sponsors are rushing to offer them within their 401(k) plans.

Analysis: Smaller firms may sometimes require more due diligence for advisors considering a move. Here's what to look for.

The IRS is warning tax preparers that clients who fail to file their tax returns for last year run the risk of missing out next year on advance payments of the premium tax credit for health insurance under the Affordable Care Act.

Warnings of a liquidity crisis in the bond market are a myth created by Wall Street in hopes of repealing regulation, said Krishna Memani, the chief investment officer of OppenheimerFunds.

Retirees can expect no inflation adjustment in their Social Security benefits in 2016; Plus, the cheapest and most costly states for retiree health care.

The changes may lead to more short-term trading, not less, says broker and tax expert Robert Gordon.