As a regulation designed to strengthen consumer protections surrounding annuity sales gains momentum nationwide, a Securities and Exchange Commission member recently highlighted key differences between the regulation and the SEC’s broker standard of conduct. Kentucky and Mississippi this month became ...

When a mob stormed the U.S. Capitol on Jan. 6, it was the strongest attack on the seat of U.S. democracy since British troops set fire to the building in 1814. That searing moment continues to smolder in Washington, D.C. ...

Trade associations representing financial advisers are stepping up their campaign to defeat a bill that could force independent broker-dealers, financial advisers and insurance sales professionals to become employees of the financial firms with which they’re affiliated. Prior to a Senate ...