If DOL Fiduciary Gets Delayed, Seize the Moment: FSI’s Brown
The FSI chief says Trump's election gives it “once-in-a-generation opportunity” to push for more advisor- and client-friendly reforms.
CEO Cook Hopes to Cure FINRA of Its ‘Tin Ear’
FINRA chief Robert Cook tells broker-dealer execs at FSI OneVoice that compliance efforts will focus on basic "blocking and tackling."
ETFs in 2016 Were Like ‘Michael Phelps in a Shark Suit’
At Inside ETFs conference, Matt Hougan and Dave Nadig discussed the current state of ETFs.
‘No Going Back’ on Commissions, Fiduciary Changes, Broker-Dealer CEOs Say
At FSI OnceVoice, execs say that, DOL rule or no DOL rule, commission-based business models are on their way out.
SEC Halts Senior Assisted Living Muni Scam
A South Carolina businessman was charged in fraudulent bond offerings for senior care facilities in Georgia and Alabama.
Trump Pledges to Cut Regulations by 75%, Will Face Hiccups in Congress
Trump can "undermine" Dodd-Frank through "more lenient regulation and enforcement," Andy Friedman notes.
Nontransparent ETFs Could Be Game Changer for Fund Market
PwC's Nigel Bradshaw says SEC approval of nontransparent ETFs could open a "whole new market for the industry."
FINRA Seeks Comment on BD Blockchain Implementation
FINRA issued a report on Wednesday examining the uses and implications of distributed ledger technology in the securities industry.
Trump Order to Delay DOL Fiduciary Rule Said to Be Coming Soon
“People are confident a delay for at least a year is imminent, but not guaranteed,” an industry source said.
DOL Posts Indexed Annuity Fiduciary Rule Exemption Draft
To get supervisory responsibility, a marketing organization might need $1.5 billion in annual sales.