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Some insiders at big brokerage firms encouraged the DoL to maintain progress. "That kept us going," Assistant Secretary of Labor Phyllis Borzi says.

Sales commissions may decrease, but new assets are expected to come on the platform.

Very few retirees have incomes that equal 70% of what they earned in their working years.

The recruits moved to the firm from Morgan Stanley, Wells Fargo, Stifel and Voya.

If you're still thinking about a client who may be suffering from diminished capacity or displays other worrisome signs, then you need to say something, says Dr. Nancy Needell.

"With so many buyers, it’s a good time to be a seller," according to the Nuveen/DeVoe RIA Deal Book.

Vice Chairmen Dan Cummings and Sam Chapin, who helped meld the wealth management firm to the bank after the financial crisis, are stepping down.

These adviser bosses have qualities that help them grab top talent for their firms, says recruiter Mark Elzweig.

Over the past month, the biggest junk-bond ETF has experienced extraordinary record-breaking daily withdrawals even though the broader market has encountered relatively little turbulence.

Mehta's focus in emerging markets has also provided the chance to learn how to overcome the hesitancy some investors may have toward overseas opportunities.

Firm relaunches as Aretec – Cetera spelled backward; new owners are undisclosed.

Careful steps need to be taken so FINRA won't consider it an outside business activity, says compliance expert Alan Foxman.

The case centered on the supervision of a now-barred broker, whose misconduct included encouraging athletes to invest in a Miami Beach nightclub and sending baskets of tequila to pro sports teams, according to FINRA.

The latest deal with heavyweights including Eaton Vance challenges industry predictions that robos would die off.

Life after the working years may offer the time needed for lots of leisure activities, but many people aren’t prepared to pay for it.

Funds built with these tax-advantaged bonds resulted in strong returns in recent years – and even no fees in a few cases.

Are you using a robo adviser with clients? Be prepared to understand the inner workings of your digital tools, says Hardeep Walia, CEO of Motif Investing.

The elderly have called with technology issues, needing assistance with poorly understood account statements and to report scams. The calls also have helped the regulator identify mistakes and instances of abuse.

To maximize efficiency, segment clients into groups generating over $5,000 in revenue and those that don't, says Alyssa Von Herbulis of Russell Investments.

Investors are taking their fascination with low-volatility stocks to new heights.