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Upholding the spirit of new legislation
Lawmakers have stepped in to provide relief to millions of Americans, but the laws come with unforeseen loopholes
A contemplation of Regulation BI
The brokerage industry, which has a reputation for not always quietly abiding to external forces, has remained curiously silent on the impending changes
State best interest annuity rule begins journey to become law
Two down, 48 states to go for sales rule
The sound of silence
Regulation BI must be implemented by June 30, so why aren’t we hearing more about how brokerages are going to change the way they deliver investment advice?
CFP Board reforms enforcement procedures to align with new ethics code
The changes are designed to give the organization better access to information for disciplinary actions
Advisers are taking PPP loans for future needs as uncertainty lingers
Sixty-one percent said they anticipate financial difficulties in the coming months
Battle lines drawn over RIAs taking PPP loans
Critics challenge the morality of fee-based advisers taking government bailout money
Oil ETF faces U.S. probes over disclosures
Both the SEC and the CFTC are looking at whether USO properly disclosed its risks to investors
4 unusual IRA issues related to deaths in 2020
New tax rules for this year may change the results that you expected
Fed holdings of bond ETFs now total $2.98 billion
The central bank also signaled that its lending program for states and municipalities will open soon
Finra orders Stifel to pay $3.6 million for violations in sales of unit investment trusts
About $1.9 million goes to harmed customers, an emphasis for the new Finra enforcement director
Schorsch REIT executive Brian Block heading to prison
The former chief financial officer of American Realty Capital Properties Inc. will start an 18-month prison sentence in August
Pandemic recovery offers opportunity to press deregulation
State regulators have asked Congress to halt SEC efforts to ease private-market rules
Galvin smacks GPB with fraud charge
The lawsuit alleges conflicts of interest and misleading marketing at GPB funds
Finra changes membership process to curb the ability to sidestep arbitration awards
New rules target brokers with pending claims that are switching firms or trying to transfer assets
MEPs costlier than similarly sized 401(k)s: Study
A new paper that examines costs of multiple-employer plans sponsored by benefits outsourcing firms found that such plans can be expensive
Daniel Wiener shames fee-based advisers for taking COVID-19 stimulus money
The Adviser Investments chairman says RIAs taking handouts are either weak business managers or simply immoral
CFP Board revamps its rules to allow video hearings
The move reflects the need to replace in-person hearings in light of COVID-19
SEC shuts Riverside, Calif., RIA running a Ponzi scheme
eGate and its owner, Paul Horton Smith, charged with fraud that targeted senior citizens
Fed bought $1.8 billion of bond ETFs to date
The Fed data also showed total Fed assets rose to a record $7.04 trillion in the latest week
