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Institute for Fiduciary Standard begins program to hold advisers publicly accountable

September 19, 2016

The Institute for the Fiduciary Standard has started a program for financial advisers that's designed to demonstrate they're adhering to best practices when engaging with investors. Advisers who participate will publicly communicate their commitment...

Why you should still be worried about big-bank failures

September 16, 2016

The risks of big banks failing might be greater now than it was leading into the financial crisis. That should get Elizabeth Warren's attention. A “nontrivial probability.” To all the index junkies out there, here are some arguments in support...

DOL fiduciary rule's unintended consequence: higher fees for investors

September 16, 2016

As broker-dealers adjust to the new Department of Labor fiduciary rule by instituting uniform commissions on a wide swath of investments, investors could be faced with higher prices on some investment products. LPL Financial, the nation's largest...

Morningstar launching 401(k) service for broker-dealers worried about DOL fiduciary risk

August 8, 2016

Morningstar Inc., the mutual fund research and ratings shop, is planning to launch a 401(k) service early next year for broker-dealers looking to minimize risk created by a Labor Department fiduciary regulation. Many industry watchers have argued...

DOL fiduciary rule's 'grandfathering' exemption may be lost by changing firms

July 26, 2016

Advisers banking on “grandfathering” pre-existing investments in retirement accounts under the Labor Department's fiduciary rule may not be able to rely on the provision indefinitely. As it turns out, industry executives and regulatory experts...

The fiduciary conundrum of charging lower fees for bond allocations

July 20, 2016

Can charging lower fees for bond investments be both the right thing to do and a violation of your fiduciary duty as a financial adviser? The answer is, yep. As bond returns grind lower, the focus on cost has grown. Turns out, the Federal Reserve...

DOL fiduciary rule brings different adviser standards to light

July 13, 2016

The recently issued Department of Labor fiduciary rule is arguably one of the most sweeping regulatory changes in recent decades. While many continue to debate its merits or, in some cases, lack thereof, the rule succeeded in bringing the different...

Court date set for lawsuit against DOL fiduciary rule

July 7, 2016

A court date has been set for Market Synergy Group Inc.'s lawsuit targeting a Labor Department regulation raising investment advice standards in retirement accounts. A motion hearing is scheduled for Aug. 24 at 1 p.m. before District Judge Daniel...

Radio show host Ric Edelman rants about raging fiduciary battle

June 24, 2016

Seven years after the Treasury Department recommended in a financial reform report that brokers be held to a fiduciary standard, the industry is struggling to come to grips with it. The Securities and Exchange Commission “should be given new...

Indexed annuity distributors weigh launching B-Ds due to DOL fiduciary rule

June 23, 2016

Distribution networks representing independent insurance agents are weighing, and in some cases forging ahead with, plans to launch broker-dealers to continue selling fixed-indexed annuities in retirement accounts under the Labor Department's...

Trouble looms for small RIAs in next bear market

June 14, 2016

For small registered investment advisers muddling through a tough regulatory environment, the next market downturn may prove too much to bear. That's because the fees they collect are often tied to the value of their clients' accounts, which...

DOL fiduciary rule can also be applied to insurance

June 12, 2016

What's the best type of life insurance? That question has been been debated for decades. In the 1980s, universal life products were considered the best. In the 1990s, it was variable universal life products, and in the 2000s, it was guaranteed...

How new leadership at DOL could address retirement rules

January 25, 2018

By all accounts, the administration of Donald J. Trump is slashing regulations across government. However, there are some exceptions to the rule, and a less ambitious deregulatory regime seems likely under new leadership at the Department of...

TD's Skip Schweiss to RIAs: Don't shrug off DOL fiduciary rule

June 8, 2016

Registered investment advisers shrugging off the Labor Department's fiduciary rule are making a mistake. That's the message that Skip Schweiss, a managing director of adviser advocacy at TD Ameritrade Institutional, is trying to get across to...

NAFA files second lawsuit against DOL fiduciary rule

June 3, 2016

A leading insurance trade group has filed a second lawsuit aimed at striking down a Labor Department rule to raise investment advice standards in retirement accounts. The move Thursday by the National Association of Fixed Annuities comes one...

Independent broker-dealer business model is an endangered species

May 29, 2016

The current business model of many independent broker-dealers, which depends on selling high-commission products, such as variable annuities and nontraded real estate investment trusts, is an endangered species. That's the blunt assessment of...

Two sides of the DOL fiduciary rule's 'Best Interest Contract Exemption' advisers must understand

May 27, 2016

The Best Interest Contract Exemption is one of the main pillars of the Labor Department's fiduciary rule. Without it, many brokers and advisers wouldn't be able to continue doing business in retirement accounts under current business practices...

Choosing default investment alternatives for 401(k)s requires close due diligence

May 25, 2016

Target date funds are the runaway top choice to serve as the default option for 401(k) plans. According to the Plan Sponsor Council of America, over 80% of all 401(k) plans elect to use a Qualified Default Investment Alternative (QDIA) and over...

How advisers can manage IRA rollover risk under the DOL fiduciary rule

January 19, 2018

Advisers need to examine their practices for IRA rollovers in the new fiduciary environment created by the Department of Labor's conflict-of-interest rule. As background, there are three ways an adviser can help a participant with a rollover....

LPL, Cambridge and others in 'serious' talks to buy Foothill Securities

May 10, 2016

Foothill Securities Inc., an adviser-owned independent broker-dealer with 220 registered reps under its roof, is in “serious discussions” to be acquired by a larger firm, according to its chairman, John Burroughs. Four firms currently in...

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