Portions of the recent decision appear to be at odds with the DOL's intentions.
Brokers would be able to conduct continuing education online rather than having to go to a test center.
Proposal would require brokerage firms to include links from their websites to a public database containing brokers' histories.
Rep. French Hill says the broker-dealer SRO is the best equipped regulator for the job.
Chief broker regulator finds a lot to dislike in proposal, including unintended consequences such as a possible cutback in sales of IRAs.
John Thiel's outspoken support of a best-interest standard and the Labor Department's effort puts pressure on peers. <i>(See also: <a href="http://www.investmentnews.com/article/20150414/FREE/150419976/labor-department-proposes-controversial-fiduciary-rule" target="_blank">DOL proposes controversial fiduciary rule</a>)</i>
Broker's former daughter-in-law claims churning and fiduciary breach.
Finra makes some information more prominent, but system still doesn't go far enough plaintiffs' attorneys say.
Regulator wants feedback on listing, trading and marketing of ETPs.
<i>Breakfast with Benjamin</i>: A downward revision of first quarter GDP can be called an aberration, but that won't make it any less bad.
Proposed rules would require advisers on their Form ADVs to divulge more about their use of separately managed accounts and social media activities
Lawmakers argue that agency hasn't justified a 15% increase for 2016
Industry heavyweights including Schwab, Wells Fargo and SIFMA bemoan the new Brokercheck link proposal from Finra, saying it is still too costly and vague.
The measure would require a broker who has transferred to a new firm to send an “educational communication” to clients.
A few suggestions for retirement plan advisers who want to protect their clients and themselves as 401(k)s face legal and regulatory scrutiny.
Self-styled “Financial Coach" sentenced to prison term, $3.6 million restitution for fraud.
Proponents of a fiduciary standard are ganging up on commission-based advisers through public shaming regarding the Suitability standard.
New proposal would make discovering bonuses for moving a do-it-yourself proposition for investors.
Training session did not include discussion of fiduciary requirements when commission-based assets are moved to fee-based accounts
Vision statements, codes of ethics, and rules and regulations have failed to serve as effective road maps for ethical discernment
