Displaying 236 results
Finra has made genuine efforts to improve
As the regulator becomes more transparent, it may also become more fair on arbitration and enforcement.
Broker, retirement groups make last-minute pleas to change tax legislation
Pass-through provisions are target of groups representing employee-model brokerage firms, as well as retirement plan advisers.
Delay of DOL fiduciary rule enforcement mechanisms now final
Supporter of regulation calls the postponement 'an effective repeal of the rule.'
House panel approves legislation to kill DOL fiduciary rule, and 2 other adviser-related bills
The measures, which include revising the accredited investor standard and safeguarding those who report elder financial abuse, head to the House floor but face varying degrees of difficulty in the Senate.
Our best tool against the DOL fiduciary rule is data
We must ensure that regulators and the public hear detailed, quantitative information.
DOL fiduciary rule: Agency says it will come up with new ways to comply during delay period
Labor Department says it also needs more time to look at any 'undue burden' the rule may cause.
Opponents of DOL fiduciary rule raise same concerns about CFP Board proposal
Financial Services Institute says extra supervision would result in a 'CFP tax,' while mother of Labor Department regulation cheers revisions to standards of conduct.
Fiduciary advocates press CFP Board for specifics on standards changes
Meanwhile, few brokerages and their trade associations, which blasted the DOL's fiduciary rule in comment letters, are responding to the CFP Board's proposal.
Industry groups opposing DOL fiduciary rule maximize spending on author of bill to kill measure
Brokerage industry dominates investment-adviser sector in political, lobbying spending.
DOL fiduciary rule already proving to be harmful and onerous
The Financial Services Institute has urged the DOL to delay full implementation of the rule until April 10, 2019. But a delay alone will not be enough, according to the trade group.
Democrats diss draft legislation to scrap DOL fiduciary rule, set best-interest advice standard for brokers
Bill's sponsor, Republican Rep. Ann Wagner, still hopes to get bipartisan support.
Rep. Wagner drafts bill to kill DOL fiduciary rule, replace it with best-interest standard
Legislation would require brokers to 'avoid, disclose or otherwise reasonably manage' conflicts of interest.
Finra engages in rulemaking by enforcement: financial industry groups
FSI and SIFMA criticize broker-dealer regulator for creating standards based on settlements.
Driving clarity on Finra’s rules on outside business activities
Outside business activities are a vital component of the value independent financial advisers offer to their clients and communities.
Labor secretary Alexander Acosta gives DOL fiduciary rule supporters something to cheer about — at least for now
It won't be delayed beyond June 9, but there could still be wholesale changes to the rule in the future. (More: DOL Fiduciary Rule: What you need to know about Acosta's decision)
9 more firms adopt fee disclosure template for clients
The fee schedule, developed by state regulators and other groups, details account maintenance and cash management charges.
Industry groups tell Acosta to make extension of DOL fiduciary rule delay his first order of business
Senate approves Trump's nominee as DOL secretary, 60-38.
New Orleans appeals court denies emergency injunction to stop DOL fiduciary rule
Financial industry opponents continue their losing streak in court
Finra accepting comments on rule change to allow investment-strategy projections
Broker-dealer groups endorse the change, saying it would put them on a level playing field with investment advisers.
Helping women get ahead in financial services
We have a responsibility to help strengthen our community wherever we can, and help it prepare to thrive in the years ahead.
