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SEC examiners on hunt for RIA and broker-dealer whistleblower violations
Firms' compliance manuals and contracts will be scrutinized to ensure employee protection.
Donald Trump’s transition team says scrapping Dodd-Frank is job one
Plus: Five ETFs to help you prosper under the Trump administration, Dawn Bennett lands in more hot water, sending the media back to journalism school, and Happy Veterans Day
Trump victory puts DOL fiduciary rule in limbo
Regulation to raise investment advice standards for retirement accounts could be targeted by the new administration and the Republican-controlled Congress. (More: The most up-to-date information on the DOL fiduciary rule)
Estate tax repeal no ‘slam dunk’ under Trump and Republican-held Congress
If Republicans were to win a repeal of the so-called death tax, contentious Treasury regulations on business valuation discounts would also disappear.
Commonwealth CEO says firm considered SEC criticism in weighing DOL rule strategy
Move to fee-based IRAs gave consideration to SEC's view of other brokerage accounts at firm.
Hillary Clinton victory fortifies DOL fiduciary rule, portends staying the course on adviser regulation
In the new administration, the regulatory agenda could be largely shaped by the officials she puts in charge of the agencies.
Finra’s sweep of broker-dealer cross-selling may head off problems
It shows Finra is carrying out its responsibility of regulating the industry and serving as the watchdog protecting the public.
American Funds sees the no-load light
Plus: A big warning from Pioneer Investments, ETF company revenues, and another bleak earnings season ahead
NAFA appeals court victory for DOL fiduciary rule
The Labor Department is coming off a big win, but will the judgment have legs in this appeal and the five other suits still pending against the regulation? (More: The most up-to-date information on the DOL rule)
In the wake of the DOL fiduciary rule, will adviser M&A surge?
Two industry leaders — Pershing Advisor Solutions CEO Mark Tibergien and Echelon Partners CEO Dan Seivert — disagree on what impact the regulation will have on the financial advice market.
The DOL rule kicks in. Will independent broker-dealers survive?
When the United Kingdom implemented similar legislation a few years ago, about 40% of advisers simply left the business.
SEC uses big data to make $15-million case against UBS for improper complex products sales
The agency said that for the first time it used a coding technique against a broker-dealer to identify potential unsuitable transactions.
Eyes wide shut on DOL fiduciary future
The advice industry is still largely speculating about what lies ahead.
Federal court rejects NAFA attempt to kill DOL fiduciary rule
In the first legal challenge to be decided, judge upholds Department of Labor regulation. (More: The DOL rule, from all angles.)
FolioDynamix acquires Summit Advisor Services for $6 million in wake of Aequitas collapse
Summit Advisor Services, a turnkey asset management program, was partially owned by an Aequitas venture. That company had been charged by the SEC with running a Ponzi scheme.
Frequently asked questions on the DOL fiduciary rule’s FAQs
The Department of Labor's 24-page document on frequently asked questions on the fiduciary rule inspires even more questions from the advisory industry than it answers.
Bank of America Merrill Lynch tells advisers to stop selling mutual funds in brokerage IRAs now
The firm is eliminating potnential conflicts of interest before the DOL fiduciary rule take effect next year
Stifel will retain commissions in retirement accounts under DOL rule
CEO says decision preserves choice while recognizing new fiduciary requirements. (More: B-Ds split on commissions in wake of DOL rule)
Hopes fade for RIA third-party exam rule by the SEC this year
Chairwoman Mary Jo White said a proposal for such exams has been circulated, but two other commissioners may be reluctant to act. (More: SEC sets record in enforcement actions against investment advisers)
American Funds files for new share class to cut fund expense ratios
F3 shares trim expense ratios by about 37 basis points.
