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ETF boon under DOL fiduciary rule won’t be universal
Some of the more exotic ETF strategies may be difficult to defend as being in a client's best interest.
Socially-conscious investing gets a boost from the DOL fiduciary rule
Labor Department acknowledges fiduciaries can apply environmental, societal and governance factors when investing
DOL supports ESG fund use in 401(k) plans
New guidance amends old rules that had a "chilling effect" on ESG fund use in ERISA plans.
State Street execs expect retirement savings law by 2018
State and federal initiatives are growing dialogue between policymakers, industry and congressmen around the retirement savings gap.
71% of U.S. households fall below the $100,000 asset threshold for advisers
Incorporating robo-advice might make servicing middle market more profitable, Cerulli study says.
CFP Board halts program to tack donation onto certification dues to fund its new center
Industry blogger Michael Kitces questioned the board's decision to automatically extract a $25 donation when certificants pay annual dues.
MassMutual settles 401(k) suit with its employees for $31 million
The insurer joins other firms such as Fidelity Investments and Ameriprise Financial in settling allegations over excessive 401(k) fees in their own company plans.
Finra failing to protect investors from bad advisers, Senator Elizabeth Warren says
Letter directs top regulator Richard Ketchum to do more to stop repeat offenders and the firms that hire them.
An original critic, Finra’s Ketchum praises improvements in final DOL fiduciary rule
Finra's CEO was one of the sharpest critics of the proposed rule, but now he's praising the Labor Department. (More: Coverage of the DOL rule from every angle)
What’s on tap in 2016 for adviser regulation?
On tap for 2016: Fiduciary duty comes to fruition?
Firms on the hook for hiring bad brokers
Sweep reminds broker-dealers they're going to be held accountable for hiring brokers who prove not fit to work in the industry.
DOL fiduciary rule can also be applied to insurance
Finding a policy that works in the best interests of your clients not as hard as you think
Obama vetoes resolution against DOL fiduciary rule; court sets date for NAFA’s lawsuit
Congressional threat to the Labor Department's retirement advice regulation gets nixed by White House, while D.C. court says it will hear a case against the rule.
Insurance groups ACLI and NAIFA sue DOL over fiduciary rule’s impact on annuities
Third legal complaint against the Labor Department's regulation to raise retirement advice standards is filed in a Texas court by insurance-industry organizations.
The DOL fiduciary rule will forever change financial advice, and the industry has to adapt
The DOL fiduciary rule will forever change financial advice, and the industry now faces the challenge of adapting to the new regulation.
With mergers poised to increase, are you ready for the next step?
The mergers we may see as a by-product of the DOL rule are likely to be trickier — and more permanent — affiliations, and advisers will need to do their homework.
House Democrats sponsor bill for universal retirement coverage
The legislation, which would automatically enroll employees without retirement-plan access, is a companion bill to one put forth in the Senate earlier this year.
Our legal challenge to the DOL: Making our voices heard in court
The Labor Department's determination to move ahead with the fiduciary rule in spite of others' grave misgivings has left us with no other choice than to bring this issue before a court of law.
Advisory firms should prep for DOL fiduciary rule while court challenges proceed
Even those fighting the regulation say advisers need to start making business decisions to meet April 2017 implementation.
TD’s Skip Schweiss to RIAs: Don’t shrug off DOL fiduciary rule
Registered investment advisers can be held liable if they don't act in clients' 'sole interest' when it comes to retirement advice.
