Regulator delayed verdict on two applications until October.
Newday offers low-barrier access to portfolios built around United Nations' sustainability goals.
Rules around net operating losses would take away a helpful cash infusion for businesses in years when they lose money.
Commission says Richard Duncan persuaded two clients to invest $300,000 in a scam.
Mercer Global Advisors sues adviser who jumped to a competitor.
Losing money in a bull market is 'red meat' for arbitrators.
If the legislation passes, advisers would have more opportunities to offer lifetime income options to plan sponsors and participants.
The issue of marketing non-retirement-plan services by record keepers has cropped up in multiple recent lawsuits.
Investors allege that brokers used lump sum retirement payouts to buy high-commission products
Acquisition focuses on George K. Baum & Company's muni business.
Plaintiffs claim the Northern Trust funds led to a 'swift and devastating blow' to participants' retirement savings.
Advisers need to monitor the political landscape and develop backup plans.
United Capital CEO outlines the three factors that drove the transaction.
The group disagrees with some of the Wall Street Journal's criticisms, but also notes steps it has taken to improve its disclosures.
Steve Baptist has also been suspended for 30 days and was ordered to disgorge commissions.
As SEC moves toward easing rules on unregistered securities, advisers could become gatekeepers.
Agency issued a private letter ruling to Nationwide indicating that pulling an advisory fee from the annuity doesn't create a taxable event.
Academic paper says many 'fall short of the spirit of the fiduciary standard.'
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