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The fiduciary conundrum of charging lower fees for bond allocations
Breakfast with Benjamin Can charging lower fees for bond investments be both the right thing to do and a violation of your fiduciary duty?
Dallas court schedules hearing for lawsuits against DOL fiduciary rule
Chief Judge Barbara M.G. Lynn is expected to issue a summary judgement on three consolidated lawsuits.
Administrative 401(k) mistakes now cost more
The Labor Department is increasing payouts for civil penalties related to retirement plans.
Candidates for Finra board want greater focus on regulatory pain of small firms
Four nominees were announced Friday after qualifying for the ballot.
Finra loses $39.5 million in 2015 after posting a surplus the year before
After posting a surplus the year before, Finra's CEO says expenses for data migration to 'cloud' storage are partly to blame for 2015.
New Finra CEO Cook will feel heat from both sides of the political aisle
Conservatives and liberals alike have stepped up criticism of the brokerage industry regulator.
Broker-dealers eye level commissions to reduce risk under DOL fiduciary rule
Such a strategy is meant to reduce the appearance of a conflict of interest when using commission products in retirement accounts.
DOL fiduciary rule will nudge 401(k) advisers to zero-revenue-share fund lineups
Such a strategy would aim at levelizing compensation, thereby dodging additional compliance requirements and litigation risk.
Morningstar, American Retirement Association partner on fiduciary program
The collaboration focuses on the compliance confusion among advisers and broker-dealers caused by the DOL's fiduciary rule.
The ABC’s of the DOL fiduciary rule
Confusion could be the rule's greatest by-product due to its broad and somewhat general nature.
DOL fiduciary rule brings different adviser standards to light
Many professional certification programs have long demanded their advisers act in clients' best interests, and not just when working with retirement accounts.
RIAs are losing their competitive advantage
Simply playing the fiduciary card to win over investors may not work the way it did in the past.
DOL fiduciary rule could spark acquisitions of RIAs as well as broker-dealers
Already expected to spur consolidation among broker-dealers, the DOL fiduciary rule could also hasten RIA mergers.
Dawn Bennett plays the victim, challenges SEC ruling
Plus: Oil is low and going lower, active managers get bested by a cat, and what you can learn from your rich neighbors
SEC approves reforms to in-house process for enforcement cases
Parties will now have more time to prepare for a hearing and be able to take depositions, but concerns of fairness remain.
SEC enforcement actions trail last year’s record numbers: Study
Agency has filed 508 enforcement actions through the first three quarters of fiscal 2016, down 8% from last year.
Lawmaker wants to give SEC defendants greater rights
Rep. Luke Messer's forthcoming bill seeks to alter administrative forums that he says 'trample' on people's rights and contribute to a fearful citizenry.
Wyoming poised to scrutinize its RIA industry for the first time
In about a year from now, 21 investment advisory firms representing about $518 million of assets will be required to switch to a state registration from the one they now hold with the SEC.
Inside broker and insurance groups’ move to block the DOL fiduciary rule
After laying low for weeks, opponents of the Labor Department's fiduciary rule finally push back.
House spending bill includes provision to kill DOL fiduciary rule
Congressional Republicans continue to fight the measure that requires advisers to retirement accounts to act in clients' best interest.
