SEC Releases FAQ on 12b-1 Fee Initiative
By Melanie WaddellThe FAQ provides more information about advisor eligibility, disgorgement and distribution of funds to clients.
May 01, 2018
Ameriprise Shareholders Reject Exec Pay Plan'We have never had below 80% support on this advisory vote,' the company said.
May 01, 2018
The 2018 IA 25 WinnersThis year's list is based on readers' opinions and highlights those who are ahead of the pack with their insights, innovation and disruption.
May 01, 2018
Talk to Clients About Social Security or Risk Losing ThemA Nationwide study shows why advisors should help plan Social Security strategies and the risks they run if they don't.
May 01, 2018
Goldman Sachs to Pay $110M to N.Y., Fed for FX TradesThe resolution covers trading from 2008 to 2013, several years after a far bigger wave of penalties tied to foreign-exchange trading by other global banks.
May 01, 2018
Retiree Confidence Slips, Especially on Health Care: EBRIWorkers, on the other hand, appear to be more confident than last year, EBRI reports.
May 01, 2018
New Distribution Execs at Jackson National, New York Life UnitsScott Romine will lead Advisory Service for Jackson National Life Distributors after several years as head of National Planning Holdings.
April 30, 2018
FINRA Issues Guidance, Seeks Comment on High-Risk BrokersThe regulator highlights instances when heightened supervision of brokers may be needed.