Lobbyists say the move could come as soon as Friday afternoon, or Monday, in the form of a directive to acting agency heads to postpone and review regulations that aren't yet operational.
The company's founders, who hail from Financial Engines, have grown the new business to $100 million in assets.
The brokers used an "in-and-out" scheme in roughly two dozen client accounts, which created "enormous losses," according to the SEC.
Allegations include receiving travel, prostitutes and drugs for steering business to two broker-dealers.
Bobby Eugene Guess, who promoted himself as a financial maven through radio advertising and financial seminars, was indicted on charges related to the multi-million-dollar sale of investments in an internet advertising company.
Severance pay does not count, nor do trailing insurance commissions.
And passive once again clobbers active.
Letter to 33 companies asks six questions, including whether they support the delay or would reverse course on changes already implemented if a delay occurs.
It's not clear how President-elect Donald J. Trump's nominee for Treasury secretary, Steven Mnuchin, would approach the Treasury estate-tax rule.
Severance pay does not count, nor do trailing insurance commissions.
The firm he founded, Dynasty, is focused on the specialized needs of top RIAs across the country.
Donald Trump can undo the new rules on financial advisers but not the new skepticism of their advice.
Bid/ask spreads fall as volume rises.
Seventy percent of Americans get a refund after filing their income taxes, yet many of us would rather go to the dentist than do the paper work.
A Consumer Federation of America report says broker-dealers and trade groups claim they are advisers when marketing to the public but salesmen when fighting the DOL fiduciary rule in court.
The most surprising aspect of the second round of adviser FAQs is they concentrate on behaviors that will legally and appropriately circumvent fiduciary accountability.
Advicent's Naviplan software will broaden advisers' view of client financial picture.
Ms. White is departing the agency at noon on Friday, just as President-elect Donald Trump is sworn-in.
If granted, the change would make it easier for some indexed annuity distributors to sell commission products under the Labor Department regulation.
Differentiating themselves from brokers would be easier now that debate has raised investor awareness of the role of a fiduciary
