The fiduciary rule may be taken off the books as a result of the ruling, and an SEC fiduciary standard wouldn't cover products not registered as securities
Much hinges on whether the Labor Department appeals the 5th Circuit decision by April 30.
Judge says Howard Present, who led ETF portfolio management firm, was 'reckless.'
It's the fourth time a retirement-plan record keeper has prevailed in a lawsuit scrutinizing fees received from Financial Engines.
CEO Robert Cook says three examination teams may be consolidated.
Firm has settled 13 claims and paid customers of Thomas Alan Meier $2.5 million.
Kenneth Mathieson's one-year suspension for outside activities cut to six months.
Electronic Transaction Clearing censured and will pay $80,000 penalty.
Record payouts relate to information that helped the agency win a $415 million settlement in 2016
Chairman Jay Clayton says 'the sooner the better' when asked when an SEC fiduciary rule will be ready.
ETP industry is reconsidering disclosures at issuance and sale.
Advisers must figure out how state, SEC and insurance regulations will affect their businesses
A much more feasible remedy has recently been put forth by PIABA.
Industry leaders weigh in on the ruling that changed the fate of the Labor Department's fiduciary rule.
Like the Senate version, the bill would make it easier for smaller employers to join open multiple employer plans
Stephen Woods allegedly settled customer complaint on his own.
Groups on both sides of the fiduciary debate had plenty to say.
Trying to figure out who qualifies for the deduction — and who doesn't — is proving to be a monumental challenge.
Future developments will hinge on whether the Labor Department continues the fight to remake the regulation its own way.
Morgan Stanley, LPL and Principal among stocks that climbed higher than market benchmarks Friday.
