Hoping for a Regulatory Miracle
Many advisors would love some common sense to be exercised in 2017 with respect to the DOL's fiduciary rule.
If Trump Wants to Kill DOL Rule, He’d Better Act Soon
For stakeholders against the DOL fiduciary rule who are hoping the Trump administration will intervene, time is running out.
Wells Fargo to Keep Commission-Based Retirement Accounts
The bank outlines steps being taken to support "client choice" under the DOL fiduciary rule.
Capital One to End Commissions in Advised IRAs
The brokerage firm, which has roughly $25 billion of assets, makes the move in response to the DOL fiduciary rule.
Advisor Group Says Price ‘Is Right’ for CEO Slot
The IBD firm, which has some 5,000 reps, taps a former wirehouse and tech executive for the position.
LPL Mum on Possible Sale, Sees No Payout Cuts From DOL
The IBD outlines expected impacts of the new fiduciary rule and shares more details on its more limited fund lineup.
Merrill Kills Mutual Fund Sales in IRAs; DOL Rule Sparks Move
The wirehouse says it is making the move to get ahead of the April 2017 DOL fiduciary deadline.
Cambridge Says Its Advisors Will Keep Commission-Based Accounts
The IBD is one of several firms to announce that its retirement accounts will include commissions, despite the coming DOL rule.
Broker-Dealer INVEST Taps New Compliance Chief
The IBD, part of National Planning Holdings, brings on Jason Albino, formerly with Penn Mutual Life.
Cetera Says It, Too, Will Keep Commissions in Retirement Accounts
Cetera Financial makes the announcement as it rolls out new technology related to the DOL fiduciary rule.