Financial Choice Act to Be Reintroduced by End of April
The Dodd-Frank replacement bill still requires DOL to promulgate a fiduciary rule similar to one issued by the SEC.
Wall Street Critic Says Stop Beating Up Wall Street
Bestselling author WIlliam Cohan talks to ThinkAdvisor about better ways to change Wall Street's bad behavior and why clients are responsible for choosing trustworthy advisors.
JPMorgan Delays Moving Wealth Clients Amid DOL Limbo
With uncertainty surrounding the DOL fiduciary rule, the bank says that its customers can keep using financial advisors.
United Airlines and the Fiduciary Paradox
If we want to provide excellent service, we need to convince regulators that more rules will not translate into better outcomes, Don Trone writes.
Will Edward Jones’ New Ads Lure Experienced Advisors?
The firm wants to recruit more veteran advisors, but one recruiter says the idea that the print ad campaign will succeed is "laughable."
Trump Nominates Regulatory Chief
Neomi Rao, law professor at George Mason University, has been nominated to head OMB's Office of Information and Regulatory Affairs.
These 4 Emojis Are a No-No on Wall Street
Investment and social media compliance firms warn about the pitfalls of using emojis in client communications.
Why a Diluted Fiduciary Rule Is Bad for Advisors: Betterment, CFP Board
Betterment, CFP Board and Consumer Federation say that a watered-down rule could hurt not just investors but advisors, and they discuss what could happen next.
SEC Busts 27 Over ‘Independent’ Stock Commentary That Was Anything But
Regulator warns that commentary on investment research websites may be part of paid stock promotion campaigns, even when writers say they are independent.
Wells Fargo Claws Back $28M More From Ex-CEO
Former-retail bank head Tolstedt forfeits $47 million in options; directors issue 113-page report on bogus customer accounts.