RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
Steven Yellen's trading at Morgan Stanley, Ameriprise violated rules, Finra rules.
Chairman Jay Clayton says Reg BI will help them shop around for best price
GPB's chief compliance officer stole information from SEC during its investigation: DOJ.
James Booth of Norwalk, Conn., faces 20 years in prison.
Research has shown FIAs can outperform bonds, making them a solid bond alternative.
The market is hot, but the balance could shift if too many advisers seek a buyer.
Juncture, with $200 million in AUM, is unwinding and the adviser team will work for Integrated Partners as IARs.
James Booth of Norwalk, Conn., faces 20 years in prison.
Chairman Jay Clayton says Reg BI will help them shop around for best price
RIAs should know better than not to disclose 12b-1 fees, says Enforcement co-director Peikin.
Research has shown FIAs can outperform bonds, making them a solid bond alternative.
Craig Stiles, Gregory Miller and Nathan Clark join employee unit in Lansing, Mich.
Deals during the first nine months of 2019 have already surpassed the total for all of 2018.
Employers will be able to default participants into receiving their plan disclosures electronically.
Boca-based Robert Marton and John Bute have joined Lido Advisors, headquartered in Los Angeles.
Roper Fields, Thomas Fields and B.V. Lawson join employee unit in Cool Springs, Tenn.
Its announcement brings the amount divested from his firm to more than $2 billion.
In a seven-page FAQ, the agency takes a hard line on 12b-1 fees.
A new law helps people determine what happens to their digital assets after they die, but the law's provisions only apply if they take specific action
