Sailing through the chamber, bill includes changes to who is considered a sophisticated investor eligible to participate in private placements.
The plaintiff, who had alerted the SEC to alleged lax security over customer data, claims her former employer's actions were "retaliatory."
Ad campaign suggests robo-adviser is ready to battle for fiduciary standard.
Awards for damages tied to the island's debt crisis continue to climb this year.
Many believe it is aimed at broker-dealers, but they could be in for a rude awakening
The left side of the aisle is likely to hold together well enough to ensure the rule is modified rather than taken off the books.
Morgan Stanley, Ameriprise Financial, Raymond James and others are finally showing their cards.
Strategists at Matthews Asia believe turbulent times could be ahead.
Regulator said fund company misled investors about the performance of its actively managed Total Return ETF.
The architect of the Department of Labor fiduciary regulation claims it is already paying dividends by lowering costs for investors — and isn't going away.
Given the political, procedural and business dynamics at play, it would be imprudent to cease or even slow down compliance efforts.
The insurance industry group wants the April 10 applicability date of the rule extended while it pushes the case up the court chain.
While passive investing and the DOL fiduciary rule have contributed to investors' cost sensitivity, the advice industry has managed to stay outside the fray — so far.
The Massachusetts lawmaker and two other Democrats asked whether the bank filed inaccurate reports on terminated employees to Finra.
Nearly 90% of respondents to a Financial Services Institute survey indicate their support for repeal.
Advisory firm hunts down a cloud-based system to make compliance more automated.
Many adviser marketing budgets also set to increase, with social media the focus.
If the president-elect rolls back the DOL fiduciary rule and spends trillions on infrastructure, old-style fund companies might make a comeback
Decision comes a little more than two weeks after a DC district judge also denied a preliminary injunction by an insurance group.
The wirehouse's public fanfare about ditching IRA commissions under new fiduciary regulation would be a large factor in deciding to stay the course.
