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Sen. Elizabeth Warren presses Andrew Puzder on DOL fiduciary rule
Asks Trump's nominee for secretary of Labor how he'll evaluate the retirement advice regulation.
Lower taxes could hit municipal bond yields
Individual and corporate tax reform add uncertainty to staid market.
President Trump’s order on DOL fiduciary rule creates quandary for firms
President Donald J. Trump left the financial advice industry in no-man’s land when he issued…
Trump’s DOL fiduciary directive triggers chaos
The mandate to review the rule and the accompanying delay leave the industry scrambling to adjust.
Labor Department seeks 180-day delay of fiduciary rule: Reports
Agency also wants to open another round of public comment on the regulation, according to published reports.
Move to delay implementation threatens DOL fiduciary rule
The implementation delay stops a regulation that has been almost seven years in the making.
Dallas judge in DOL fiduciary rule suit deals yet another blow to indexed annuities
The judge affirmed that inclusion of indexed annuities in the BICE was reasonable.
New Jersey broker pleads guilty to six-year elder scam
Former rep charged with bilking $1 million from clients.
SEC charges Connecticut RIA with stealing $3.95M from investors
The regulator alleges the founder of Sentinel Growth Fund Management stole from investors to settle private lawsuit.
Dallas court approval of DOL fiduciary rule bolsters supporters’ case
The loss in Texas was the third that industry plaintiffs have suffered in courts around the country and perhaps the one that stung the most. Plus: John Bogle on why demise of fiduciary rule would be 'step backward' for nation
Trump call for DOL fiduciary rule review could open door to uniform standard
Brokerage business foes say they want a better rule; others call that a ruse
John Bogle: Demise of fiduciary rule would be ‘step backward’ for nation
'Fiduciary principle' will survive regardless of rule outcome, Times op-ed predicts
Got client passwords? That means custody to SEC
Advisers still unintentionally falling into trap of custody provisions passed after Madoff swindle.
Justice Department seeks stay in DOL fiduciary rule lawsuit
Attorneys ask the Dallas federal court not to issue a ruling pending a “status report” it plans to file in relation to President Trump's Feb. 3 memo to review the regulation.
Galvin orders LPL to pay $3.7 million in restitution, fines over unsuitable VA sales
Charges by Massachusetts' top regulator relate to the former top-producing adviser Roger Zullo, who allegedly committed fraud in selling variable annuities to retirees.
DOL fiduciary rule class-actions costs could top $150M a year
The plaintiff's bar is licking its chops, looking for a new class to represent
Envestnet to deliver online, in-person fiduciary training programs
Tech provider teams with The Retirement Advisor University for curriculum
Congress seeks to kill DOL rules on state, city auto-IRA programs
House Republicans introduce bills to block Labor Department rules promoting creation of retirement plans for private-sector employees.
Finra increases arbitrator recruiting, diversity, but other reforms lag
Agency said it recruited 945 arbitrators in 2016, and that 33% were women and 14% African American. But reform advocates seek broader changes, such as with the expungement process and notice of unpaid awards.
Higher investor protection standards ahead regardless of DOL fiduciary rule outcome
Advisers will need to be able to demonstrate they are recommending low-fee and high-performance products.
