Practice

The firm's latest supervisory case involving its oversight of former brokers comes as regulators and client attorneys have more tools under the 2-year-old rule.

The classic guideline emerged in the '90s as a simple template for retirement spending. But in an age of plummeting stocks and soaring inflation, can it still work?

Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.

The firm is also trying to upgrade its services for advisors through new digital chatting tools to get in touch with the corporate office without any phone calls.

There's not much wiggle room for further reductions, especially in an uncertain economy.

The flow of money from private foundations to donor-advised funds has jumped substantially in recent years, highlighting the increasing use of a controversial loophole in charitable law, a new audit shows.

Core assumptions that underpinned record growth in recent years no longer hold.

Shareholder documents, now at least hundreds of page long, will have to limit themselves to portfolio, performance and expense information.

Normally, it pays to collect benefits later. But for one retiree with a dire diagnosis, that may not be an option.

A behavioral science researcher and an HBCU planning professor gave financial advisors tangible steps that can alter the industry's legacy of exclusion.