Is the Time Ripe for the SEC to Regulate Broker/Advisor Titles?
As the Securities and Exchange Commission mulls a fiduciary standard rule of its own, should the agency also tackle regulating advisor and broker titles?
Medicare Rights Center Guide Details Steps for IRMAA Appeals
A free, downloadable guide gives advisors and clients insight on how to appeal a higher Part B or Part D premium.
Wells Fargo Consistently ‘Abused’ Customers, House Dems Say
The 38-page House Financial Services staff report cites a “pattern” of abusive business practices and “disregard” for customers.
SEC to Gather Data on Unregistered Advisors, Brokers
Third-party advisor exams are “not a bad idea,” SEC chief Jay Clayton said, but “it’s not front of my mind right now.”
Tax Reform Is Coming. But First ...
The GOP tax outline will probably see plenty of changes, but markets will like the final outcome, says Greg Valliere of Horizon Investments.
Rep. Wagner Introduces Bill to Kill DOL Fiduciary Rule
The Protecting Access for Small Savers Act keeps fiduciary rulemaking at the SEC.
Alabama Securities Director Borg Steps Up as NASAA President
As he starts his one-year term, Joseph Borg notes growing BD interest in the NASAA Model Fee Disclosure Schedule.
Democrats Blast Trump Tax Outline, See ‘Rothification’ of 401(k) Plans
Advocates for retirement savers had a mixed reaction to the tax reform blueprint.
SEC ‘Pushing’ for Fiduciary Rule, Clayton Says
Harmonizing a rule with the Labor Department is a priority, Clayton tells senators, who also grilled him on the recent EDGAR hack.
Hearsay Partners With Microsoft on Client Relationship Platform
Microsoft Dynamics 365 will complement Hearsay's financial industry-specific workflows, data and compliance capabilities.