Regulation And Legislation

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REGULATION AND LEGISLATION APR 09, 2017
5 regulatory issues every financial adviser should be watching

Sure, the delay of the DOL fiduciary rule is big news. But there are other important matters going on in Washington.

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 07, 2017
3(38) vs. 3(21) investment fiduciary services: the pros and cons for 401(k) advisers

By Greg Iacurci
RETIREMENT PLANNING APR 06, 2017
Judge in Putnam 401(k) suit deals potential setback to plaintiffs using Vanguard as fee benchmark

The lawsuit is the first among similar cases to proceed to hearings on summary judgment, and may be telling as to how future judges rule.

By Greg Iacurci
RETIREMENT PLANNING APR 06, 2017
Senate, House introduce bills mandating lifetime income disclosures for 401(k) plans

The bills are similar to ones introduced in the previous Congress, but failed to pass commitee.

By Greg Iacurci
PRACTICE MANAGEMENT APR 06, 2017
SEC explores ways to strengthen compliance of independent advisers

The regulator sees difference in compliance levels between W-2 and affiliated advisers, says Peter Driscoll, acting director of the SEC's Office of Compliance Inspections and Examinations.

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 05, 2017
New Orleans appeals court denies emergency injunction to stop DOL fiduciary rule

Financial industry opponents continue their losing streak in court

By Mark Schoeff Jr.
RETIREMENT PLANNING APR 05, 2017
'Retirement Rip-Off Counter' underscores impact of Department of Labor's fiduciary rule delay

By Liz Skinner
RIA NEWS APR 05, 2017
RIAs say DOL rule delay doesn't matter because industry is moving toward fiduciary anyway

Regardless of whether the fiduciary rule is ultimately repealed, advisers say it is becoming more popular among consumers.

By Jeff Benjamin
REGULATION AND LEGISLATION APR 05, 2017
Opponents troubled by mere 60-day delay of DOL fiduciary rule

But the Labor Department says 'there is little basis for concluding that advisers need still more time before they will be ready to give advice that is in the best interest of retirement investors.'

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 04, 2017
Jay Clayton approved by Senate panel to be SEC chairman

The full Senate is expected to vote on the nomination later this month.

By Hazel Bradford
RIA NEWS APR 04, 2017
SEC rejects appeal by Dawn Bennett

The commission's March 30 opinion clears the way for Ms. Bennett to move forward with her federal court claims that the agency's in-house forum is unconstitutional.

By Bloomberg
REGULATION AND LEGISLATION APR 04, 2017
DOL fiduciary delay final rule expected to be released Wednesday

Agency pushes back implementation date just before April 10 deadline

By Mark Schoeff Jr.
REGULATION AND LEGISLATION APR 04, 2017
DOL releases final rule delaying fiduciary implementation

Under the measure, the April 10 applicability date will be pushed back to June 9.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT APR 03, 2017
Advisers must seize opportunity to deliver best-interest advice to clients

New fiduciary standard will lead industry forward regardless of DOL rule outcome.

By James Lumberg
OPINION APR 03, 2017
Be vigilant about scams and fraud involving elder clients

If you succeed in warning clients away from just one scam or fraud, their gratitude, respect and loyalty will be unsurpassed

By Amy Florian
REGULATION AND LEGISLATION APR 03, 2017
Jay Clayton talked to several wealthy Trump backers before nomination to SEC

Nominee had conversations with Peter Thiel, Rebecca Mercer, Stephen Bannon and Carl Ichan as some Democrats question whether he will be a tough regulator.

By Bloomberg
RIA NEWS APR 03, 2017
Savvy RIAs are waving the fiduciary flag

Regardless of DOL gridlock, RIAs are embracing their fiduciary status and promoting it to prospective clients.

By Jeff Benjamin
REGULATION AND LEGISLATION APR 02, 2017
Why do we need self-regulatory organizations? - Cook

Broad questions on the rationale for SROs in the securities industry provide a starting point for the regulator to review and hone its mission, says CEO Robert Cook.

By crain-api
PRACTICE MANAGEMENT MAR 31, 2017
SEC bars ex-LPL broker already serving 12-year prison sentence

Thomas Caniford pled guilty to securities fraud, publishing false statements and theft from the elderly.

By Bruce Kelly
RETIREMENT PLANNING MAR 30, 2017
MassMutual to level 401(k) fees for its brokers

The business changes eliminate variability in 401(k) fees and reduce the appearance of any conflicts of interest.

By Greg Iacurci