Galvin to propose fiduciary rule for Massachusetts brokers
The secretary of the commonwealth is proposing a fiduciary standard in response to an SEC investment-advice rule he views as too weak.
Cetera latest to be hit with data breach of personal information
Company is offering clients complimentary, two-year membership to an identity theft protection and credit monitoring service.
4 strategies for Roth conversions
Find out about the different Roth conversion strategies available to you
What does it mean when superstar breakaway brokers bolt again?
The decision by the Luminous team to leave First Republic could have far-reaching repercussions for the entire advice industry.
Does the SEC’s new interpretation of the investment adviser standard diminish it? Depends who you ask
Some observers say the language waters down the fiduciary standard, while others say the word choice is inconsequential.
Pennsylvania law requires multiple record keepers for 403(b), 457 plans
Advisers think the law, which goes into effect July 1, will result in higher costs for investors.
Forget the SEC advice rule — broker-dealers more concerned with CFP Board expanded fiduciary standard
CFP Board's updated code of ethics and standards goes live in October.
Fidelity building managed accounts platform
FMAX ties together Wealthscape technology, eMoney financial planning and investment management to rival TAMPs.
Advisers, experts either hate SEC advice reforms or love them
Reactions range from 'a major win' to 'a catastrophe.'
SEC final advice rule hearing updates
The compliance deadline for Reg BI for brokers is June 30, 2020.
SEC releases new details on investment advice reform package
Statement and fact sheet clarify four measures in the just-approved financial advice standards.
SEC reforms impose new requirements on brokers and advisers, but some argue not enough
New rules stress disclosure of conflicts, but fall short of creating a uniform fiduciary standard.
Investor advocates slam SEC advice reform on eve of Reg BI vote
Barbara Roper says the new regulations 'will mislead investors into expecting protections the rules do not deliver and deprive them of protections they currently receive.'
Merrill Lynch adding human advisers to Guided Investing robo
The advisers will fill a service gap between the firm's purely digital, self-directed robo-adviser and the full-service advisers of Merrill Lynch.
Giving employees an ownership stake
5 steps to make the goal as helpful and painless as possible.
Retirement plan provider sticks with embattled celeb Tony Robbins
The self-help guru is a board member and 30% owner of America's Best 401(k) Company.
LPL cuts ticket charge for some ETFs on key RIA platforms
Transaction charges for three ETF managers will drop 45%.
Redtail isn’t the only firm with cybersecurity issues
Study of 30 mobile apps found vulnerabilities at 29 firms.
How to battle sequence-of-returns risk
Retiring during the longest-running bull market in history can be scary, as some begin to wonder when the good times will end.
Tony Robbins loses role with RIA amid charges of sexual misconduct
Creative Planning had hired the self-help guru three years ago as chief of investor psychology.
