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Dallas judge indicates possibility of vacating DOL fiduciary rule
DOL questioned at length during challenge brought by SIFMA, FSI, Chamber of Commerce and others.
The other DOL retirement regulation Trump and the GOP may scuttle
The Department of Labor's rule exempting state-based auto IRA plans from ERISA could be in jeopardy under the new Republican administration. (More: The most up-to-date information on the DOL fiduciary rule)
New fintech tools for DOL fiduciary rule launched despite questions of a Trump delay
The advisory world is moving toward a fiduciary standard with or without the DOL rule, financial technology firms contend.
Commonwealth offers brokers bridge financing as DOL takes toll in shift to fee-based IRAs
Advisers will get loans to help cover earnings shortfall following firm's decision to ban commissions. (More: Merrill tells advisers to stop selling mutual funds in brokerage IRAs)
SEC’s Mary Jo White says agency won’t rush rulemakings across finish line before Trump presidency
But chief regulator will continue to carry out current agenda until she steps down when Obama leaves office.
Edward Jones hit with second lawsuit over excessive 401(k) fees
Allegations in the lawsuit largely resemble those of a separate one filed in August this year.
Capital One will eliminate commissions on IRAs
The transition will be completed by the time the Department of Labor fiduciary rule takes effect.
Head of Trump’s SEC transition may not have to look far for new chairperson
Paul Atkins, chief executive of compliance consultant Patomak Global Partners and a former SEC commissioner, could select from among his coworkers or even recommend himself.
Robo-advisers sound off to SEC about rule changes for automated advice
Digital-advice firms tell the Securities and Exchange Commission they put clients' interests first and that some regulatory updates are needed as digitization of the industry grows.
Donald Trump faces a steep learning curve
With Donald Trump’s shocking victory over Hillary Clinton last week, America woke up to a new reality. Financial…
SEC scrutinizing two Ladenburg Thalmann firms for selling mutual funds with 12b-1 fees
Regulator claims Securities America Advisors and Triad Advisors "acted inconsistently with their fiduciary duties."
SEC bars ex-LPL broker over churning
Paul Lebel, an LPL broker from 2008 to 2014, defrauded four customers by churning several of their accounts, according to the SEC.
Finra bars former Stifel broker for unauthorized payments
Finra has permanently barred a former broker who was terminated by his former employer, Stifel, Nicolaus & Co., for making unauthorized payments to clients.
Mary Jo White: 3 areas of oversight for the Treasury market
This is an edited speech given Oct. 24 by Mary Jo White, chairwoman of the Securities and Exchange…
Another 401(k) record keeper sued over ‘pay to play’ scheme with Financial Engines
Plaintiffs claim Xerox took kickbacks from Financial Engines for including the managed-account provider on its record-keeping platform, breaching its fiduciary duty.
Proceed or stand down: Should advisers continue preparing for the DOL fiduciary rule post Trump?
Many brokers and other financial firms have already changed compensation and other policies to align with the regulation. (More: The DOL rule, from all angles.)
Where Donald Trump stands on top financial adviser issues
From regulation to tax and entitlement reform, these are the central decisions that will affect financial planners and clients in the years to come.
JPMorgan Chase will stop charging commissions on IRAs due to DOL fiduciary rule
Clients may choose fee-based or self-directed retirement accounts.
SEC uses F-Squared saga to drive home due diligence message
Telling advisers to never assume enough is enough when it comes to research.
Trump administration must overcome obstacles to kill DOL fiduciary rule
The new president cannot simply rip up the regulation, which became effective in June. (More: Biotech, healthcare, banks and energy may benefit from Trump's policies)
