Practice

New rules targeting broker-dealers could mean new exams for certain management professionals and new standards for SEC inquiries.

The group is preparing to judge the inaugural Pro Bono Awards while conducting annual evaluation of grant applications

A group of Democratic members of the House, led by Rep. Carolyn McCarthy (D-NY) and Rep. Rush Holt (D-NJ), has written to the Department of Labor criticizing a new rule that would redefine the term fiduciary in the Employee Retirement Income Security Act of 1974.

Nearly 150 hand-picked and already highly successful Bank of America Merrill Lynch financial advisors next month will embark on what amounts to retirement training boot camp at The Retirement Advisor University (TRAU) in pursuit of a Certified 401(k) Professional designation to further their defined-contributions expertise and differentiate themselves from other DC practitioners.

The TNS Investor Confidence Index declines to 113 in April.

A two-hour Senate Banking Committee hearing Thursday touched on virtually every major financial services topic under the sun but resolved little.

New research by Novantas LLC, Forrester Research and others adds weight to an idea being kicked around in the industry: that mobile may have its limits as a way to entice tech-savvy customers, reduce branch use and cut costs.

The time and energy that the advisor focuses on the client produces far more terminal wealth for that client than anything you can get from the traditional investment management services.

The key is turning that overriding motivation into actual results in the real world.

The previous minimum was $3,000 for eleven of the twelve funds in the series.