Features

Topic

Cost to play bigger role in investment recommendations

Large firms are well-situated to comply with the cost standards in the SEC's Reg BI given changes they made to prepare for the DOL fiduciary rule.

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SEC draws ire with indexed annuity misstep

The regulator issued an investor bulletin about indexed annuities that instead described a different product — a buffer annuity.

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IFS Securities hit with $10 million trading loss: reports

IFS Securities facing 'substantial losses' from head bond trader's bet on Treasuries.

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Fee-based annuities still require caution, despite IRS olive branch

The agency may have fixed a big tax problem for RIAs, but issues remain with many fee-based products.

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This new tax rule could be a ‘recession bomb’

Rules around net operating losses would take away a helpful cash infusion for businesses in years when they lose money.

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Why we sold to Goldman Sachs

United Capital CEO outlines the three factors that drove the transaction.

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Advisers may not be equipped to help clients navigate private markets

As SEC moves toward easing rules on unregistered securities, advisers could become gatekeepers.

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Dually registered advisers found to have conflicts and higher fees

Academic paper says many 'fall short of the spirit of the fiduciary standard.'

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Ex-Woodbridge Group CEO Robert Shapiro pleads guilty in $1.3 billion Ponzi scheme

Faces 25 years in prison for running fraud that affected more than 7,000 investors.

Topic

Fidelity dogged again by 401(k) quid-pro-quo allegations

Claims that have resurfaced about a mutually beneficial financial relationship between MIT and Fidelity are similar to one in a prior case.

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