RIA In A Box, a registered investment adviser (RIA) consulting firm, created its Last-Minute Audit Prep service to provide support and information for RIAs facing an SEC audit.
The Principal Financial Group announced it has made the necessary adjustments for advisers and plan sponsors to comply with new retirement plan fee disclosure regulations.
The Financial Industry Regulatory Authority (FINRA) has created the Disciplinary Actions Online database, which allows investors to find disciplinary records of FINRA-registered brokers.
AXA Equitable Life Insurance Company has introduced the Structured Investment Option (SIO) for its EQUI-VEST series of variable deferred annuities available to employer-sponsored retirement savings plans.
Rest-of-Life Communications, a provider of workplace retirement education programs, has launched a free, Web-based guide designed to help workers address the daunting challenges of planning for a long...
The American College of Employee Benefits Counsel (the College) has launched a new Web site feature to help locate leading employee benefits practitioners, including those available to act...
Lincoln Financial Group announced that its Lincoln Director group variable annuity-based retirement solution will be available for new sales exclusively through a service model supported by third-party administrators...