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Advisers must brace for DOL fiduciary by ramping up technology plans
Time to weigh the role technology will play in keeping advisory practices in compliance, as well as profitable
Former Thrivent broker barred from securities business for defrauding woman he met at church: Finra
He allegedly met the customer at church and took $25,000 from her under false pretenses.
LPL Financial’s problems keep piling up
Nation's largest independent broker-dealer faces an ugly lawsuit, high turnover and stalled growth. And that's just for starters. (Related read: The stock buyback that launched a lawsuit)
Harbor Lights team leaves LPL for Wells Fargo Advisors Financial Network
The $350M firm was concerned with joining a firm that could successfully navigate the DOL fiduciary rule.
Finra’s REIT rule to raise transparency on prices takes effect
New reg mandates changes to customer account statements that better reflect true value of nontraded REITs.
Nebraska regulators off hook for targeting adviser with anti-Obama sentiments
But state agency says it is adjusting to court's admonishment on adviser's free speech rights.
Advisers need to adapt to DOL fiduciary rule or risk getting left behind
The retirement-services space has reached the point of creative destruction, where innovation eliminates old businesses and creates new ones.
DOL fiduciary rule trips up robo efforts at BlackRock, Schwab
Plus: Measuring Jim Cramer's performance, personal finance myths, and Social Security misconceptions
Former Wells Fargo broker agrees to Finra ban
Christopher Pierce allegedly stole from customers at Wells Fargo Bank
Financial advisers unfazed by a possible Donald Trump presidency
At the moment, however, many advisers are taking a wait-and-see position.
Leading Senate critic of DOL fiduciary rule says chamber will try to kill it
Sen. Johnny Isakson, R-Ga., said the Senate likely will vote on a resolution of disapproval. He also plans to advance a separate bill to halt the regulation. (More: This insurance group likely to be first to file DOL fiduciary lawsuit)
Elect Donald Trump to stop DOL fiduciary rule: GOP lawmaker
Rep. Phil Roe, R-Tenn., says his own bill to kill the rule will fail, but supporting the Republican candidate could work to gut the regulation.
This insurance group likely to be first to file DOL fiduciary lawsuit
The ACLI is champing at the bit to get legal action started, but it likely wants to know which other groups will be running before it starts its own race.
Market turmoil poses risk to brokers going fee-based in wake of DOL fiduciary rule
Many see the new regulation speeding up a shift toward fee-based relationships as commissions become increasingly scrutinized for conflicts.
Obama administration vows to veto House resolution to kill DOL fiduciary rule
President Barack Obama will veto a House resolution designed to kill a Labor Department rule to raise investment-advice standards for retirement accounts, the White House said Wednesday.
Labor Secretary Thomas Perez gets high marks for guiding the fiduciary rule through the regulatory shoals
Thomas Perez gets high marks for guiding the fiduciary rule through the regulatory shoals, but supporters question whether he gave away too much.(More coverage: Everything you need to know on the DOL fiduciary rule)
DOL fiduciary rule compliance a worry for fee-only financial planners
Additional hoops to jump through to show regulators they are fiduciaries have fee-only advisers worried.
Brokers: Either move toward a fiduciary standard or have it forced upon you
Being on the side of the argument that says you do not have to act in the best interests of your client is laughable.
SEC proposals target mutual funds
The regulatory environment for financial services is ever-changing, and periods following market disruptions create opportunities for regulators to…
Shedding early light on President Barack Obama’s economic legacy
The long-term effects of the decisions made will shed light on the effectiveness of this period of economic history
