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15 transformational events: ‘Merrill Lynch rule’ spurs long debate
When the SEC proposed the broker-dealer exemption rule in 1999, few realized that it would result in a lawsuit against the commission and provoke a long and contentious debate about fiduciary duty.
15 transformational advisers: Harold Evensky and Deena Katz
Harold Evensky may have written the book on financial planning, but his wife, Deena Katz, is widely credited with paving the way for formal education in the field.
FSI lays into Labor Department on fiduciary proposal
Advocacy group demands update on rule revamping; 'withdraw and re-propose, not withdraw and walk away'
Retirement plan brokers outsource fiduciary duties
As the Labor Department and lobbyists wrangle over who can provide advice to retirement plan participants, the marketplace has come up with an increasingly popular solution that satisfies current and potential requirements.
Congress passes fiduciary ball to SEC
In signing off last Friday on the most sweeping overhaul of financial regulation since the Great Depression, congressional negotiators took a major step toward empowering the SEC to decide whether stockbrokers should be more accountable to individual investors.
