Results for "fiduciary"

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State securities regulator says states can enforce DOL fiduciary rule

February 16, 2018

A prominent state securities regulator backed Massachusetts' effort to enforce the Labor Department's fiduciary rule and said he would do the same thing under the right circumstances. Industry participants, investor advocates and others were...

Galvin charges Scottrade with DOL fiduciary rule violations

February 15, 2018

Massachusetts charged Scottrade Inc. on Thursday with violating the Labor Department fiduciary rule, demonstrating that even as the regulation is being reviewed by the Trump administration it could still have bite. In a complaint, the state...

401(k) plan sponsors are increasingly hiring fiduciary advisers

February 13, 2018

Employers sponsoring a 401(k) plan, especially small business owners, are increasingly hiring investment advisers who serve as fiduciaries to their retirement plan, new research suggests. About 70% of all 401(k) plans used an independent investment...

Eight brokerage firms urge CFP Board to delay new fiduciary standards

February 5, 2018

Eight major brokerage firms are calling on the Certified Financial Planner Board of Standards Inc. to halt its effort to raise the investment-advice requirement attached to the designation until the Securities and Exchange Commission proposes...

Disclosure not the solution for a fiduciary standard, industry reps agree

February 2, 2018

Representatives from both the brokerage industry and the registered investment advisory side of the advice business expect the Securities and Exchange Commission to produce some kind of proposal this year for a fiduciary standard for brokers....

DOL fiduciary rule responsible for drop in Stifel adviser headcount: CEO

January 30, 2018

Stifel Financial Corp.'s net loss in financial advisers last year was largely attributable to the Department of Labor fiduciary rule, which caused the firm's advisers to retire in greater-than-usual numbers, a company executive said Tuesday....

New York lobbies for nationwide 'best-interest' standard for life insurance sales

January 26, 2018

New York State is lobbying for a higher standard of care for life insurance sales across the country, arguing that consumers need stronger protections from conflicted advice and building off a national dialogue set off by the Department of Labor...

How new leadership at DOL could address retirement rules

January 25, 2018

By all accounts, the administration of Donald J. Trump is slashing regulations across government. However, there are some exceptions to the rule, and a less ambitious deregulatory regime seems likely under new leadership at the Department of...

Major financial trade groups to CFP Board: Slow the effort to raise mark's fiduciary standard

January 25, 2018

Two prominent financial industry trade groups want the Certified Financial Planner Board of Standards Inc. to halt its effort to raise the designation's advice standard until the Securities and Exchange Commission has proposed its own fiduciary...

How advisers can manage IRA rollover risk under the DOL fiduciary rule

January 19, 2018

Advisers need to examine their practices for IRA rollovers in the new fiduciary environment created by the Department of Labor's conflict-of-interest rule. As background, there are three ways an adviser can help a participant with a rollover....

State fiduciary rules may be reckoning for life insurance industry

January 19, 2018

The life insurance industry escaped the jaws of the Department of Labor fiduciary rule only to come face to face with another beast: the states. New York's recent proposal to impose a best-interest standard on life-insurance sales — a higher...

Fiduciary rule every bit as necessary for brokers, according to report

January 16, 2018

For those who think a fiduciary-type rule is unnecessary, think again. The Wall Street Journal reported last week that "advisers at some of the biggest discount brokerage firms make more money if they steer clients toward more-expensive products."...

Busting DOL fiduciary rule myths of industry opponents

January 12, 2018

According to the opponents of a new rule designed to ensure that retirement savers get the best advice possible, the entrepreneurial mindset and innovative spirit that has powered the U.S. economy for decades is a thing of the past. They think...

Fiduciary groups urge SEC to prevent brokers from using 'adviser' title

January 12, 2018

Fiduciary advocates are urging the Securities and Exchange Commission to prohibit brokers from calling themselves "financial advisers," as the agency considers a regulation that would raise investment advice standards. One of the biggest sources...

Bill requiring fiduciary disclosure reintroduced in New Jersey

January 11, 2018

New Jersey state lawmakers introduced legislation this week that would require financial advisers to disclose their fiduciary status to investors. Under the measure, advisers who do not have to meet a fiduciary standard must tell clients in...

CapitalRock expands its fiduciary analyzer

January 10, 2018

One company is hoping technology will make it easier for advisers to determine if a retirement plan rollover meets the fiduciary standard. CapitalRock is expanding the functionality of its RightBRIDGE Product Profiler, which analyzes 401(k)...

Court decision on DOL fiduciary rule expected in February

January 10, 2018

A major court decision could be released on a lawsuit over the Labor Department's fiduciary rule after the partying is over next month on the Bayou. Opponents and advocates of the regulation have been waiting for months for the Fifth Circuit...

House GOP seeks to preserve spending rider to kill DOL fiduciary rule

January 3, 2018

House Republicans will seek to preserve a provision of the chamber's spending bill that would kill the Labor Department's fiduciary rule as they negotiate a measure to fund the government. Republican and Democratic House and Senate leaders were...

What to expect on the regulatory front in 2018

January 2, 2018

The Securities and Exchange Commission enters 2018 with five members for the first time in more than two years. Now at full strength, the agency should be able to better pursue Chairman Jay Clayton's agenda, according to Karen Barr, president...

Time for SEC to take fiduciary baton from DOL

January 2, 2018

With the core of the DOL fiduciary rule in place and the rest of it delayed for 18 months, can advisers expect all to be quiet on the fiduciary front in 2018? In a word, no. The regulatory baton has been passed from the DOL to the SEC and it's...

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