FINRA Mulls Allowing Performance Projections for Investing Strategies
An amendment now out for comment would let firms illustrate the projected performance of a strategy or allocation but not an individual security.
The Truth About Fiduciary Duty Delegation
Regardless of the DOL fiduciary rule’s fate, the 401(k) market is full of opportunity for advisors, if approached in the right way.
Sen. Warren Wants to Know What Role Goldman Played in Trump Exec Orders
With Goldman stock up almost 20% in the past three months, Democratic senators say the new president is "good for Wall Street but bad for Americans."
Fed’s Tarullo to Step Down as Top Regulator of Wall Street Banks
He will depart years before his term ends in 2022, leaving the Fed board with just four members instead of the usual seven.
LPL CEO Says No Way on Pure RIA
The IBD discusses strategy and the impact of recent high-profile departures during its Q4 earnings call.
DOL Files to Delay Fiduciary Rule
DOL filed a notice Thursday with the Office of Management and Budget to delay implementation of its fiduciary rule.
Voters Favor Increased Regulation of Financial Institutions: Poll
A new poll reveals half of voters are in favor of more regulation for banks, credit unions and other financial institutions.
What DOL Fiduciary Victory Feels Like: The Texas Court Decision
Seven challenges to the DOL fiduciary rule were noted and refuted in Judge Barbara Lynn's decision.
SEC Says Advisor Stole From Clients to Pay for Country Club, Private Jet: Enforcement
The SEC also barred a private equity advisor for improper withdrawals from funds.
SEC's Top 5 Advisor Compliance Failures
An OCIE alert highlights the top deficiencies found in advisor exams.