Results for "fiduciary"
Displaying 991 results
June 19, 2015
In his effort to build support for a proposal to raise investment advice standards for retirement accounts, Department of Labor Secretary Thomas Perez often uses a prominent robo-adviser as a talking point. When he appeared at a June 17 congressional...
June 17, 2015
Secretary of Labor Thomas Perez assured lawmakers Wednesday that the agency is listening to concerns about a controversial investment advice proposal and will “make it work.” In an appearance before a subcommittee of the House Education...
June 16, 2015
A House bill introduced Tuesday would stop a Labor Department proposal to change investment advice standards for retirement accounts. Under the House Appropriations Committee measure, DOL would not be able to spend any funds to finalize or implement...
June 12, 2015
If the kitchen wasn't full before, it is now. The U.S. Supreme Court just stirred up the fiduciary standard debate with its recent decision in Tibble v. Edison. For years, the Department of Labor and the Securities and Exchange Commission have...
March 13, 2012
The Financial Services Institute Inc. and the Financial Services Roundtable have upped the volume in their latest exchange with the Labor Department over its plans to expand the fiduciary universe. This time, the advocacy groups are demanding...
February 17, 2012
Executives at retirement industry organizations were miffed after receiving a letter from the Labor Department this week, giving them until today to tell the agency whether they can provide data on IRAs. The Insured Retirement Institute, The...
January 31, 2012
The Securities and Exchange Commission's laggardly pace toward devising a regulation that would apply a uniform standard of care for investment advice suits Sen. Jon Tester, D-Mont., just fine. Mr. Tester, a member of the Senate Banking Committee,...
January 13, 2012
Financial industry groups say they can't fulfill a Labor Department request for information about their members' individual retirement account business until they better understand what kind of material the agency is seeking. .In a letter released...
December 8, 2011
Brokers who work with individual investors will likely be able to continue charging commissions and pushing in-house products under a rule being written by the U.S. Securities and Exchange Commission aimed at improving their treatment of clients....
December 5, 2011
More than four dozen Republican House members sent a letter to the Labor Department today, urging the agency to tread carefully if it includes individual retirement accounts in a new rule that would expand how the term fiduciary is defined for...
September 19, 2011
While the Labor Department today announced that is starting over on its fiduciary-duty rule, an insider at the Securities and Exchange Commission said the agency likely will delay issuing its new standard of care for broker-dealers. The regulator...
- Alternative Investments
- Bonds / Fixed Income
- Client Prospecting
- Client Servicing
- Defined Benefit Plans
- Defined Contribution Plans
- Health Care
- Independent Broker-dealers