Regulation And Legislation

Displaying 10528 results
Fees fell by as much as 10% last year in investment advisory services
RIA NEWS SEP 23, 2016
Fees fell by as much as 10% last year in investment advisory services

The DOL fiduciary rule and competition from robo-advisers will continue to result in pricing pressure.

By Christine Idzelis
REGULATION AND LEGISLATION SEP 23, 2016
SEC should refrain from branding advisers as fraudsters over poor continuity planning

By Ellie Zhu
REGULATION AND LEGISLATION SEP 23, 2016
Finra's arbitration process: Challenging the system to find the right answers

The Financial Services Institute is pleased to see the regulator putting forward a broad-ranging slate of common-sense improvements, writes FSI CEO Dale Brown.

By Dale Brown
REGULATION AND LEGISLATION SEP 22, 2016
Republican lawmakers attempt to stop estate-tax regulation

Introduction of bill to kill Treasury's rule curbing tax-planning strategies comes as Hillary Clinton announces an increase to her top estate-tax rate.

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 22, 2016
Legislation supporting multiple employer plans could become reality by year-end

The retirement industry has increasingly called for open MEPs as a way to close the coverage gap in the private sector, and recent congressional moves make them a strong likelihood.

By Greg Iacurci
RETIREMENT PLANNING SEP 21, 2016
Senate committee unanimously approves bill to ease use of annuities in 401(k) plans

Legislation also would require defined-contribution plans to make lifetime income disclosures, and allow small employers to combine plans.

By Mark Schoeff Jr.
DOL fiduciary rule to cost the securities industry $11B by 2020: study
REGULATION AND LEGISLATION SEP 21, 2016
DOL fiduciary rule to cost the securities industry $11B by 2020: study

Independent broker-dealers expected to be hardest hit, with a 22% loss in revenue.

By Bruce Kelly
LIFE INSURANCE AND ANNUITIES SEP 21, 2016
Selling annuities under the DOL fiduciary rule is a whole new ballgame

Selection process will be like a suitability standard on steroids, requiring an analysis like those done by a financial planner.

By Greg Iacurci
Opponents of DOL fiduciary rule hurt by Wells Fargo woes
REGULATION AND LEGISLATION SEP 21, 2016
Opponents of DOL fiduciary rule hurt by Wells Fargo woes

A financial scandal showing harm to the unsuspecting public — even if conducted outside the advice industry — will live on in the minds of voters and politicians.

By Mark Schoeff Jr.
Education, training programs crop up as DOL fiduciary rule looms
REGULATION AND LEGISLATION SEP 21, 2016
Education, training programs crop up as DOL fiduciary rule looms

Some broker-dealers and RIAs are turning to third parties to begin the tough task of educating advisers on the new regulation. <b>(Plus, <a href=&quot;http://www.investmentnews.com/section/fiduciary-focus&quot; target=&quot;_blank&quot;>find the answers to all of your questions on the fiduciary rule</a>.)</b>

By Greg Iacurci
DOL official downplays advisers' lawsuit fears stemming from fiduciary rule
PRACTICE MANAGEMENT SEP 21, 2016
DOL official downplays advisers' lawsuit fears stemming from fiduciary rule

Deputy assistant secretary Timothy Hauser also says liability exposure is relative to portfolio size, so regulation shouldn't prevent serving clients with modest assets.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT SEP 20, 2016
Finra bars broker who was named to inherit 91-year-old customer's waterfront condo

Douglas Wayne Studer agreed to be barred from the securities industry.

By Grete Suarez
EQUITIES SEP 19, 2016
The race for lower fees shines a light on smart beta

Hybrid strategy between active management and index funds needs to perform and be cheap.

By Jeff Benjamin
REGULATION AND LEGISLATION SEP 19, 2016
In unusual upset of an incumbent, Finra board elects new small-seat representative

Robert Muh prevailed over four candidates vying for the position, including the governor running for reelection, Robert Keenan.

By Mark Schoeff Jr.
PRACTICE MANAGEMENT SEP 18, 2016
Alan Greenspan is committed to ending Dodd-Frank

Plus: T. Boone Pickens takes on President Obama's energy policy, how traders navigated the Fed, and starting your day off right

By Jeff Benjamin
REGULATION AND LEGISLATION SEP 16, 2016
Deutsche Bank's shares, bonds decline after rebuffing Justice Department's $14 billion probe claim

By Bloomberg
FINTECH SEP 16, 2016
Advisers reveal cyber insecurities at FPA conference

Most don't expect they could pass a hacking-preparedness test if the SEC came knocking, or even know all the compliance factors they are responsible for, according to a new Financial Planning Association study.

By Liz Skinner
Nontraded REIT sales fall off a cliff as industry struggles to adapt
ALTERNATIVES SEP 16, 2016
Nontraded REIT sales fall off a cliff as industry struggles to adapt

Adapting to regulatory changes has been a struggle, meaning the nontraded REIT industry's worst fears have come true.

By Bruce Kelly
PRACTICE MANAGEMENT SEP 15, 2016
Take 5: New NASAA leader Mike Rothman emphasizes collaboration, data analytics

Increasing collaboration is at the top of the agenda for the new president of the North American Securities Administrators Association.

By Mark Schoeff Jr.
RETIREMENT PLANNING SEP 14, 2016
Voya targeted in 401(k) fee suit hinging on relationship with Financial Engines

Voya allegedly took a &quot;substantial portion&quot; of the fee charged for investment advice, even though Financial Engines did the bulk of the work.

By Greg Iacurci