Managing director Lisa Bleier set to testify in Nevada workshop on state's new fiduciary law.
Robert Cook, sitting down with critic David Burton of the Heritage Foundation, says Finra may become more open with board deliberations and how it spends fine money.
The regulation would have eliminated business-valuation discounts used to reduce estate and gift taxes.
The CFA is calling on regulators to investigate whether brokers are moving clients to higher-cost, fee-based accounts, which it says would be a violation of the DOL rule.
The fate of Nicholas Schorsch's companies holds lessons for brokers who buy stock in their employers' firms.
The Delta Family Care Savings Plan had $8.12 billion in assets as of Dec. 31, 2015.
Several plan providers have expanded their participant-call-center services to include fiduciary advice, and advisers must help clients navigate the change.
Jay Clayton assures Republican critics of DOL rule that agency's proposal would give investors the option of choosing a broker for investment advice.
Judge says barred broker was supplied false statements by boss, who had 'ultimate authority' over them.
Sen. Bob Corker, R-Tenn., said the White House is showing 'softness' when discussing how the tax cuts will be paid for, such as by repealing the state and local tax deduction.
Alabama securities director takes helm of state regulators' association for third time, and at age 64 he might still make time to ride his motorcycle.
The regulatory attorney and chairman of the Securities Practice Group gave a typically candid speech about SEC exams at the Raymond James Wealth Managers Conference.
The exam proposal would apply to 'low-risk' branch offices, while the public database proposal would more closely resemble the SEC's Form ADVs.
Recommendations to roll over retirement-plan assets, to transfer IRAs and advice generating additional payments like 12b-1 fees are trouble areas for RIA firms.
Agency forecasts it will inspect at least 14% of registered investment advisers in current fiscal year, up from 10% in recent years, but still below the 50% rate achieved by Finra for B-Ds.
Hurricane damage to island may complicate settlement of claims on munis and closed-end funds.
Legislation would allow brokerages to produce fund reports not classified as sales offers.
Plaintiffs allege GE breached fiduciary duties by selecting proprietary funds.
The regulator alleges the brokers recommended a pattern of high-cost frequent trading without telling clients that such a strategy was unlikely to produce profits.
