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These investment advisories paid the price for passing along performance data faked by a third-party manager.

Unlike some other tax mistakes, running afoul of the once-per year rule can’t be fixed.

To help identify fraudulent advertising , advisers will be required to create and maintain documents that demonstrate performance calculations or returns.

Clients can beat a costly pitfall that comes after missing a 60-day window on IRA rollovers by giving the agency their side of the story under a newly relaxed rule. Plus, ways to save when clients are too old for traditional IRAs.

The group includes two recruits who began their careers in the late 1970s.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

The recruit joined a practice opened by a former complex director from the same wirehouse.

Edward Wedbush allegedly failed to supervise mandated regulatory filings.

The agency also proposed a rule to permit cities to create their own savings plans.

Eligible taxpayers can now qualify for a waiver of the 60-day time limit and avoid possible taxes and penalties on early distributions, if they meet certain requirements.

The fundamental nature of the social network is interaction and conversation — not the simple spouting of PR.

For one strategy, clients should create income streams that have built-in protection, such as Social Security and long-term insurance.

Far from signaling industry hardship, increasing liquidations reflect the ETF industry’s ebullient growth.

The fifth-biggest bank in the U.S. strikes deal with BlackRock’s FutureAdvisor to offer automated investing service.

The wirehouse is also reorganizing how it deploys a number of product and service consultants and technology specialists.

The wirehouse advisers generated a combined $2 million in annual revenue at the time of their departure.

Drivers in Seattle, Boston, Chicago, and New Jersey will be offered IRAs first, with plans to expand to other cities later this year.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.

A proposed 22.3% increase in Medicare Part B premiums, if approved, will automatically be deducted from retirees' monthly checks.