FINRA Just Made It Easier for Family Offices to Buy IPOs
FINRA has clarified that family offices count as investment advisers when purchasing equity IPOs.
The CFPB Is Fighting for Its Life. Here's What to Know
On Wednesday, the U.S. Court of Appeals for the D.C. Circuit could take a step toward reshaping the single-director agency.
Sticking to DOL Fiduciary Deadline Is ‘Right Move,’ Says fi360’s Aikin
Opponents, meanwhile, were disappointed by Acosta's decision; "dramatic and fundamental changes are appropriate and necessary," says SIFMA's Bentsen.
FINRA Elects Piper Jaffray’s Duff as Large-Firm Governor
Duff's "deep experience working with institutional and individual investors will be an invaluable asset to our deliberations,” said FINRA CEO Cook.
Clara Shih, Digital Doctor: The 2017 IA 25
The executive and tech entrepreneur helps advisors and broker-dealers tap into the power of social media.
DOL Won’t Delay June 9 Fiduciary Rule Compliance Date: Acosta
DOL has "found no principled legal basis to change the June 9 date while we seek public input," Labor Secretary R. Alexander Acosta said.
Courts Will Not View DOL Fiduciary Rule Repeal Favorably: Borzi
Further delay will create “uncertainty” that will be “really problematic,” the rule's architect, Phyllis Borzi, said at the fi360 conference.
Top 3 Low-Cost Ways for IBDs to Drive Post-DOL Value to Advisors
As broker-dealers await regulatory certainty, "go big or go home" is a false choice for firms that want to do right by their advisors.
Betterment for Business Adds Ex-DOL Official to Advisory Board
A former BlackRock retirement strategist is also joining the advisory board of the firm's 401(k) division, and both newcomers are women.
Rep. Jeb Hensarling — Dodd-Frank Doomsayer: The 2017 IA 25
Financial Choice Act moves to the full House, but doubts persists as to whether there’s appetite in Congress to deal with Dodd-Frank reform.