Practice

Just 1% of the plan participants surveyed stopped contributing to their DC plan accounts, unchanged from the year-ago quarter.

The Commodity Futures Trading Commission said the futures commission merchant based in Greenwich, Conn., failed to properly supervise the reporting of activity in accounts of large traders.

In a new global survey, Accenture finds opportunity for life insurers to present clearer, more personalized information to win over these masses.

Comments by former Citigroup chief executive Sandy Weill reignited the debate over whether to separate commercial banking from investment banking.

United Technologies Companylast month took the plunge into providing its employees a steady stream of retirement income.

Seven multimillion-dollar revenue earners are joining Merrill Lynch’s wealth management units in Florida, Michigan and California.

House Democrats on Wednesday introduced legislation that would expand the role of the SEC to conduct oversight examinations of investment advisors, a segment of the financial services sector that lawmakers on both sides of the aisle have agreed is under regulated.

Spectrem’s affluent investor confidence index fell to its lowest point in eight months.

Ask Ed Slott: Your IRA Expert answers readers’ questions about the best way to reinvest proceeds garnered from beneficiary IRAs.

Twenty-six year industry veteran Richard Ray is joining Stifel Nicolaus’s Honolulu office as vice president and portfolio manager.