The president could appoint two independent members or simply leave the vacancies open.
James Carrazza of Olympus Securities failed to report federal tax liens on his employment record and would not provide the regulator with requested information, according to Finra.
Limits could be placed on 401(k) contributions as a way to help pay for broad corporate and individual tax cuts, according to Brian Graff, head of the National Association of Plan Advisors.
Auto-IRA programs have been enacted in five states that would cover an estimated 10.4 million workers.
Market shifts will largely remain intact in the event the regulation is amended or scrapped, and non-specialists are adjusting.
Firms look to retirement advisers to be experts on the law, and even sometimes on their investments
A truncated comment period for a proposed delay to the Labor Department's fiduciary rule came to a close on Friday with a letter from 40 House Democrats denouncing the stall.
Here are some ways your firm can prepare for that discussion.
Firms are moving forward with changes because it makes sense for advisers and their clients.
Organization recently hired Capitol Hill veteran to head up its government relations efforts.
Wouldn't it be easier if financial advisers had to wear the logos of all the companies whose products and services they distribute?
Wirehouse is broadening the pool of advisers who can work with retirement plans as an investment fiduciary.
An SEC filing did not say why the firm is being investigated and a lawyer for the firm declined to comment.
Paul D. Stanley was dismissed for violating the firm's professional conduct, supervisory and compensation policies.
The regulation may not cause a flood of new referrals as non-specialists exit the 401(k) market. It might actually have the opposite effect.
Advisers must act in the best interest of clients and present them with all available retirement income offerings
Clients will be moved to self-directed accounts; bank may kill shift if DOL rule is dropped.
They face the challenge of asking for the order from the same judge who ruled against every claim in their lawsuit.
