Broker Regulation

Report indicates employers are broadening their financial wellness programs with more services, but improvements need to be made in order for employees to take advantage of all benefits.

National Endowment for Financial Education recently surveyed 1,050 U.S. adults who identify as LGBTQIA+ community members on a broad range of issues regarding their interactions with the financial services industry and their own financial quality of life.

A new study reveals that registered investment advisors and broker-dealers are more concerned than consumers about inflation, market volatility, and the odds of a recession.

Employers are responsible for complying with ERISA (and the Department of Labor, and COBRA, and the IRS …). So it's not the broker's problem, right? The…

How does this ruling impact employer-sponsored group health plans? We address four items of immediate concern.

As of July 1, employer-sponsored plans will be required to comply with transparency requirements first passed in 2020. But questions remain over whether these new rules will truly help consumers.