Practice

The industry trade group announced its support for the proposal in a comment letter on FINRA’s new disclosure rules.

Having dodged the fiscal cliff and postponed the debt ceiling deadline, the Nation's leaders decided to let the spending sequesters happen. Will the result be to throw the economy into recession or cause an economic catastrophe? Sam Wardwell of Pioneer Investments doesn't think so.

The Internal Revenue Service said that budget sequestration would require reductions in refundable credits for certain tax-exempt bonds and the refundable portion of the Small Business Health Care Tax Credit for some small tax-exempt employers.

Now that you’ve decided which social platform you want to try, you’d better check in with compliance before you start using it.

Half of defined contribution participants still do not know how much they pay in fees and expenses—the same level as last year.

Understanding why you do what you do really makes a difference.

Social media is an enormous opportunity, but it also presents some distinct challenges when it comes to compliance. Here's a quick guide, and a five-point compliance checklist.

Word to the wise plan sponsor when it comes to target-date funds: No, not any QDIA will do, and bigger companies aren't always better.

Many financial advisors and their firms fail to understand and comply with custodial responsibilities to clients, according to the SEC . As a result, the commission has issued a “risk alert” and “advisor bulletin” to remind and educate planners about the importance of complying with custody rule.

“FSI has long supported a uniform fiduciary standard that increases protection for investors without limiting access to financial advice and service for Main Street Americans,” Dale Brown, the institute’s president and chief executive said in a statement Monday.