Two areas for further improvement are the measure's disclosure proposal and its stance on rollovers
Reg BI should serve as a ‘true north’ for state officials and other regulatory agencies that are working on their own standards
An industry coalition filed a petition requesting the agency bring its staff 'guidance' in line with existing regulations on disclosing compensation for recommending mutual fund share classes
During these challenging times, it is more important than ever that we protect and expand access to financial advice
The tax treatment of financial services and reducing burdens on advisers' business entities are among the items FSI will be focusing on this year
National standards would be preferable to a patchwork of state-by-state rules when it comes to dealing with rapidly evolving cyberthreats
Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.
Regulator's actions can serve as a model for the SEC and others on incorporating industry feedback to improve regulatory programs
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
