SEC Busts Bitcoin and Co-working Space Investment Schemes: Enforcement
SEC also charged the sister of a convicted Ponzi scheme operator with selling unregistered securities.
Trump Is No Hurdle for Oregon’s State-Run Auto-IRA Plan
The OregonSaves retirement program entered a pilot phase on July 1 with 11 employers.
Trump DOJ’s Aversion to Class Actions Will Have Wide Impact
The administration's switch from opposing to defending bans on class actions, including in the DOL's BICE, will have broad consequences.
Ex-CFO of American Realty Capital Found Guilty of Fraud
The former ally of Nicholas Schorsch was found to have "fudged the books" at the publicly traded REIT.
Cybersecurity Requires a Collaborative Approach
News headlines remind us that cyberattacks are among our greatest global threats. That's why cybersecurity requires collaboration between industry and regulators.
Trump Administration Rebuffs Challenge to Fiduciary Rule in Appeals Court
U.S. asks Fifth Circuit largely to uphold the rule as regulators move to revise it, or further delay implementation.
What's Next for the DOL Fiduciary Rule?
A Morningstar regulatory specialist says changes to enforcement and even a delay in the full rollout date are possible.
4 Portfolio Models to Help Advisors Segment Clients
These models are examples of advisors acting as "buying agents" focused on the "best outcomes" for clients, says Fidelity's Sanjiv Mirchandani.
Washington Abuzz With New CFP Board Standards, Treasury Reg Reform Moves
Recent developments in Washington that should grab advisors’ attention include the Treasury department's first report on regulatory reform, among other things.
The Debate Over ‘New Evidence’ and the Fiduciary Rule
In an email to ThinkAdvisor, Harold Evensky had some choice words on a recent Chamber of Commerce study that purported to show the rule’s harm.