Plus: Warren Buffett isn't sweating the election outcome, find out if you're getting a fair price for airfares, and a Goldman Sachs gym with progressive membership dues
In the latest sign of the changes to come in the wake of the new DOL fiduciary rule, Charles Schwab is taking mutual funds with sales loads off its shelves.
Increased SEC scrutiny may be making ETF providers uncomfortable, and the industry may soon have to adapt to new regulations. </br><b><i>(More: <a href="http://www.investmentnews.com/section/specialreport/20160417/ETF042016" target="_blank">The full Spotlight on ETFs special report</a>)</b></i>
Experts say the complexity of retirement income planning can set human advisers apart and justify their fees.
The first installment of InvestmentNews' new <i>Fiduciary Focus</i> column looks inside the political wrangling taking place as the fiduciary rule nears finalization.
<i>InvestmentNews</i> senior columnist Bruce Kelly talks about the challenges facing indie B-Ds and what many firms are doing to survive.
Move to Merill Lynch One platform will blunt regulation's impact.
Massachusetts securities division examining independent broker-dealers that sold RCS alternative investments such as nontraded REITs.
Government focus on rooting out financial crimes includes proposals to get advisers more involved.
Based on comment letters and testimony before Congress, a court challenge will probably focus on who brokers really answer to
New business models, heavy compliance costs and figuring out 'reasonable' fees are among the items giving IBDs fits.
The broker-dealer didn't account for reserves needed to cover loans secured with customer assets.
He provided fake information about their investment holdings to hide his scheme.
The Labor secretary says the regulation that would increase investment advice standards for retirement accounts will withstand challenges from those looking to kill it.
The more structure we can provide advisers during this seismic shift, the more likely they will be about to adapt.
51% of advisers say the rule will help their businesses, an improvement from 2015 when only 27% saw the regulation helping.
Senate expected to follow suit, but Obama is almost certain to veto it.
Broker-sold fund companies lag since new regulation released.
Regulator seeks comment on plan for building massive database to help it quickly unravel flash crashes.
"We're harming savers worldwide with low and negative interest rates," he says.
