Displaying 110 results
Again, SIFMA spent most money in financial services industry lobbying lawmakers
The trade association representing major brokerage firms spent $6.6 million in 2018.
NAPFA launches campaign to distinguish fiduciary from ‘best interest’
CEO Geoffrey Brown: 'The SEC's proposal is misleading and confusing for consumers.'
Have a plan to encourage diversity at your firm
Co-founder of NAPFA's initiative shares her group's efforts.
Best interest standard must come with fiduciary teeth: Borzi
Former assistant secretary of labor says the best way to help investors is with a common advice rule.
FPA splits with CFP Board over state regulation of financial planners
FPA seeks policy influence at state, federal levels; CFP Board thinks states should not get involved, and NAPFA agrees.
Disclosures in SEC advice rule confuse, mislead investors, advocacy groups say
Testing by Financial Planning Coalition, Consumer Federation of America and AARP uncovers problems.
Organizations launch campaign to get investment advisers to comment on SEC advice rule
Promotional flyer depicts the 'intimate relationship' advisers have with clients
Adviser groups offer pro bono help to Las Vegas survivors and families
Institute for the Fiduciary Standard, NAPFA, CFA Institute and Garrett Planning involved.
Eight brokerage firms urge CFP Board to delay new fiduciary standards
Ameriprise, AXA Advisors, Edward Jones, LPL, Morgan Stanley, RBC, Wells Fargo and UBS call on organization to stand down until SEC proposes its own rule later this year.
Frank Paré assumes role as FPA president
The first African-American to hold the post says he's leading the organization during a period of great change.
George Papadopoulos, financial planner, confused with key figure in Trump probe on social media
'For the nth time, I am NOT Trump's foreign policy adviser!' Mr. Papadopoulos pleads on Twitter.
Financial Planning Coalition: DOL fiduciary rule delay harms investors, violates regulatory requirements
Delaying the Department of Labor’s fiduciary rule would harm investors and violate regulatory requirements, groups representing investment advisers…
Financial planners foresee little disruption to practices from DOL fiduciary rule
Three investment advisers who charge fees, commissions and by the hour for their services don't anticipate big changes at their firms.
What changes to look for in the final DOL fiduciary rule
Advocates, opponents of the rule seek similar alterations, and we'll likely know Wednesday if they were made.
Adviser groups step up lobbying as DOL rule nears completion
Organizations opposed to the fiduciary rule invested more in Capitol Hill outreach efforts last year, trying to convince Congress to stop the measure.
Obama proposes curbs to retirement-savings tax incentives for wealthy, heirs
The measures, which affect 401(k) and IRA limits and beneficiary withdrawals, have been proposed in previous budgets to no avail, but still worry financial industry groups.
Show me the money: Financial advisory trade groups pay handsomely
If you want to make money in the financial advisory business, don't be a financial adviser. Heading groups that advocate for them pays much better. Plus, see what the top brass make.
NAPFA leader claims ‘moral high ground’ in fiduciary fight
Organization wants to strengthen its lobbying punch to counter the likes of NAIFA and others that oppose a clients' best interests rule.
SEC cracks down on advisers’ access to clients’ outside accounts
As part of its focus on custody violations, the SEC is examining cases in which clients give advisers their usernames and passwords.
Advice-industry leaders welcome Ryan’s focus on getting things done in Congress
Possible speaker of the House of Representatives understands issues important to advisers better than most lawmakers.
