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Eight ways to comply with DOL fiduciary rule

June 17, 2016

What makes the DOL's fiduciary rule so transformational is that while most regulations impose significant costs, this rule also will have a material impact on revenue, especially related to individual retirement accounts. It's a principle-based...

Lawsuits against fiduciary rule likely to cite DOL's lack of authority

April 25, 2016

So far, all's quiet on the court front when it comes to the recently finalized Labor Department rule to raise investment advice standards for retirement accounts. Three groups that might file a lawsuit against the rule — the Insured Retirement...

Nevada fiduciary proposal packs punch with broad scope of coverage

January 23, 2019

A proposed regulation to raise advice standards in Nevada for stock brokers and financial advisers is receiving high marks from fiduciary advocates. Last week, the Nevada Securities Division released the eight-page regulation proposal to implement...

Fiduciary duty finally hits mainstream — and Main Street

June 13, 2016

For most of the last six years, the battle over a Labor Department rule to raise investment advice standards for retirement accounts has been waged inside the Beltway in Washington. Attacking and defending the rule has taken place in the capital's...

Advisers evaluate the DOL fiduciary rule

April 11, 2016

The Department of Labor's highly anticipated release of the final version of its fiduciary rule this week drew jeers and cheers from the financial advisory industry. Click through to find out how high profile financial advisers and executives...

The silver lining to the DOL fiduciary rule

April 7, 2016

Some believe that one effect of the new DOL fiduciary rule will be that many Americans with small retirement accounts, particularly IRAs, may lose access to professional advice and guidance. On the other hand, there is a likelihood that the...

Podcast: The good, bad and ugly of the new rule

April 6, 2016

The Labor Department's fiduciary rule is finally out. InvestmentNews' regulatory reporter Mark Schoeff Jr. shares his thoughts on the highlights — and low lights — of this development.

Three ways to take advantage of shortcomings in the DOL fiduciary rule

April 5, 2016

Much has been written about the Department of Labor's fiduciary rule, and the issues it does and doesn't address. Opinions within the wealth management industry remain divided, but at the end of the day, change is coming whether we like it or...

Will the advice you give be subject to the DOL fiduciary rule?

April 1, 2016

In helping dozens of broker-dealers and registered investment advisers prepare for the pending Labor Department fiduciary rule, we have seen a lot of confusion among advisers. Many have struggled to identify the particular account types that...

Position your firm to compete in a world under the DOL fiduciary rule

March 30, 2016

If your firm provides investment advice to retirement plans, plan fiduciaries or individual retirement investors, you may want to begin planning for the Department of Labor's investment advice rule's potential impact on how you do business....

This insurance group likely to be first to file DOL fiduciary lawsuit

May 10, 2016

Like horses running in the upcoming Preakness, financial industry trade associations may be off to the races on lawsuits against the recently released Labor Department investment advice rule. While the others prance around, it looks as if the...

How brokers can address potential revenue conflicts under DOL fiduciary rule

April 4, 2016

While the Department of Labor is expected to announce its final Conflict of Interest Rule on Wednesday, questions about whether existing compensation models satisfy current standards are also intensifying. Regulators are scrutinizing current...

Can investment advisers disclose away all conflicts? Can brokers?

October 16, 2018

With the release of its regulatory package on April 18, the Securities and Exchange Commission drew an important distinction between disclosure obligations for investment advisers versus those for brokers. Even as the greater fiduciary debate...

SEC's latest on fiduciary: Advisers can customize individual client agreements

December 19, 2018

When Securities and Exchange Commission chairman Jay Clayton asserted at a congressional hearing last week that investment advisers can "contract around" their obligation to act in a client's best interests, it caused some head scratching in...

Clayton tells lawmakers advisers can skirt fiduciary standard

December 11, 2018

Securities and Exchange Commission chairman Jay Clayton told lawmakers Tuesday that investment advisers can dodge a requirement to put their clients' interests ahead of their own if they put exceptions in their client agreements. In an appearance...

SIFMA says Reg BI raises broker standard above investment adviser requirements

December 6, 2018

A major financial industry trade association asserted Thursday that the Securities and Exchange Commission's investment advice reform proposal would result in brokers having to meet a higher standard of care than investment advisers. The SEC...

Wells Fargo Advisors president David Kowach embraces best-interest standard

December 4, 2018

Wells Fargo Advisors president David Kowach urged the investment advice industry to embrace the regulatory effort to raise the standard of care. In an appearance at the MarketCousel Summit in Las Vegas, Mr. Kowach said pending regulatory changes...

Best interest standard must come with fiduciary teeth: Borzi

November 12, 2018

A best-interest standard for investment advice will protect investors only if it's rooted in a fiduciary obligation, the mother of the Department of Labor's fiduciary rule said Monday. Phyllis Borzi, former assistant secretary of labor, didn't...

SEC tests show investors don't understand disclosure form for brokers, advisers

November 8, 2018

Investors embrace but fail to grasp disclosures intended to help them distinguish between investment advisers and brokers included in the Securities and Exchange Commission's investment advice reform proposal, according to testing results the...

SEC panel votes to urge agency to strengthen advice rule proposal

November 7, 2018

A panel established to speak for ordinary investors to the Securities and Exchange Commission voted Wednesday to urge the agency to strengthen its investment advice reform proposal by putting tougher requirements on brokers. The SEC Investor...

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