Displaying 10204 results
Mutual funds stand to gain as muni investors get first look at fees
Brokerage firms must start disclosing the fees they charge to buy and sell state and local government debt.
5 key questions about the SEC’s proposed ‘best interest’ standard
The regulator may have purposely left portions of the standard vague so it can crack down on behavior not explicitly stated in the rule.
Finra proposes to widen net for churning violations
Under new rule, brokers would not have to have control of account to be found liable.
U.S. Supreme Court debates status of SEC’s in-house judges
`Buckets of Money' case tests power of agency's administration law judges in Trump era.
Litigation, scale push private colleges to adopt multiple employer plans
The movement to create multiple employer plans creates opportunity for retirement plan advisers.
SEC advice rule may give RIAs leg up over broker-dealers
Experts say advisers will be able to point to their role as fiduciaries as a differentiator in the advice market.
Wells Fargo to pay $1 billion for consumer-business missteps
Regulators impose penalties over auto, mortgage lending issues.
Ed Butowsky charges Schwab with political bias in $100 million lawsuit
Adviser claims he was kicked off custodian's platform because of his political views.
SEC advice rule: Here’s what you need to know
We sifted through the nearly 1,000-page proposal and picked out some of the most important points.
Principal sued for stacking its TDFs with proprietary funds
The firm allegedly used high-cost, underperforming index funds in its hybrid target-date funds.
What a court decision teaches 401(k) advisers about choosing stable-value funds
Selecting a very conservative benchmark is generally permissible under retirement law.
Brokers accept proposed SEC rule on who can call themselves an adviser
Some say the rule will clear up investor confusion, but others say the SEC didn't go far enough.
SEC advice rule raises bar for brokers by putting ‘best interest’ on table
Required policies, procedures give the regulator a way to gauge brokers' follow through on mitigating conflicts.
One adviser’s journey to becoming a citizen advocate
FSI member Bradley Brown spent years lobbying the Ohio legislature for reforms in the state's rules on UTMA accounts.
SEC advice rule seeks to tighten reins on brokers
The proposed rule puts new restrictions on brokers, but it is still unclear how strongly the SEC is clamping down.
SEC advice rule: Industry groups brace for debate
Trade groups are champing at the bit to have their say in response to the SEC hearing.
SEC advice rule hearing updates
Commission says a lot of work ahead, public will have 90 days to comment.
SEC advice proposal unveiling: Here’s what to expect
Chairman Jay Clayton will initiate momentous action Wednesday, as the commission meets to debate a rule on broker and adviser standards.
401(k) lawsuits being brought more aggressively against retirement plan advisers
Chances of getting sued are more common now than five years ago, says one lawyer.
Finra bars broker it was investigating for fraud
Steven Pagartanis, a hearing no-show, had been discharged by Lombard Securities.
