Regulation

The department is asking the Office of Management and Budget to postpone the compliance date for 18 months for the best interest contract exemption and other aspects of the rule.

The company made reductions by as much as 20 basis points at the offerings, which total about $204 million in assets.

In addition to redesigning its business lines, the $48 billion firm is considering a robo, the president of its broker-dealer said.

The country’s sixth-largest IBD is shifting its management ranks in a change prompted by the fiduciary rule.

Will young RIAs lead the profession’s second uprising against the established status quo?

Expected new chief for financial products is fueling speculation for more innovative funds.

The advisors collected $1.7 million by fraudulently pushing variable annuities, investigators say.

Class-action lawsuits inspired by the DoL regulation “may go away,” says a prominent ERISA attorney.

John helped found the coalition between the board, NAPFA and the FPA.

The rep took more than $1,500 from the bank's cash drawer over a three-month period beginning on New Year's Eve last year, FINRA claimed.