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The new rules, if approved, would likely require more catch-up by smaller firms to vet third-party providers, says a legal expert.

Morningstar is the latest entrant to tout a direct indexing option for financial advisers, allowing them to invest directly in the underlying stock of indices to offer benefits...

Allianz finds growing numbers of U.S. workers want guaranteed income options in their employer-sponsored retirement plan.

Maddox Group’s Adam Belardino faces up to 45 years in prison for wire fraud and making false statements to the IRS.

60/40 investing for long-term savers is coming under fire with the recent market downturn and rise in alternative options. Researchers at Leuthold Group break down why 60/40 may...

Three separate bills, dubbed SECURE 2.0 when taken together, are likely to be passed into law by this December, according to Washington insiders.

Gallagher says the deal adds a financial asset management platform to meet plan sponsor demand for holistic retirement plan participant needs.

Compliance for a new rule aimed at preventing investment advisers from misleading clients goes into effect November 4, next Friday.

It’s complicated. Data shows that some sub-industries within finance tend to support Democrats while others support Republicans.

Principal Financial Group hires U.S. insurance solutions distribution leader; Prudential Financial announces leadership succession for U.S. and international businesses; NEPC expands real assets team with real estate industry veteran;...

They began with broad adoption at large accounts, and smaller employers are increasingly considering them as a solution for their plans.

An Allianz survey finds another 43% of Americans are also dipping into savings to meet costs. But recent PLANSPONSOR and ICI surveying shows that, at least when it...

These workers are more likely to consider a broad range of retirement plan investments and want more options. 

Betterment launches cryptocurrency offering; MSCI launches index for investors seeking net-zero transition progress; Prime Trust launches all-in-one IRA solution after successful beta program; and more.

The new rule requires securities firms to recover incentive pay if it was premised on an accounting error.

Republican leadership is bad news for “woke capital” says Washington Policy Strategist at Stifel.

Market volatility is contributing to record sales of retail annuities. But in-plan annuities to provide guaranteed income in retirement are mostly still on the horizon due to lack...

The SEC says the new rule proposals are responding to the growing trend in use of third-party vendors by financial advisers. An adviser association calls them ‘overly burdensome.’

The rules adopted by the SEC update requirements for mutual fund and ETF shareholder reports and promote transparent fee and expense presentations in investment company advertisements.

The letter offered broad support for many of the provisions in the three bills composing ‘SECURE 2.0’ and provided recommendations for the final legislation.