Senator Enters Race to Kill DOL Fiduciary Rule
Sen. Roy Blunt's bill is companion legislation to Rep. Ann Wagner's bill, the Retail Investor Protection Act, which passed the House in October.
A Fiduciary Primer: What’s a Rep’s Responsibility to Clients?
Questions from a veteran RIA — and former broker — reveal the lack of understanding among advisors of the fiduciary issue.
How to Kill DOL’s Fiduciary Rule: Andy Friedman
Courts don't like to give injunctions, but if opponents to the rule can get one, “the rule is dead,” the Washington Update analyst says.
Bills to Replace DOL Fiduciary Rule to Get Marked Up on Tuesday
The proposals provide a "responsible legislative alternative" to the DOL’s "controversial" fiduciary plan, says House Education & Workforce Committee Chairman John Kline.
DOL Fiduciary Rule Lands at OMB for Review
SIFMA urges OMB to put the rule through a "comprehensive" cost-benefit analysis.
Where FINRA, SEC and NASAA Are Really Focusing This Year
At FSI OneVoice, regulators say they’re looking at everything from recruitment compensation and conflicts of interest to elder fraud.
Debate on Fiduciary Is Over; Battle for ‘Best Interest’ Rages On
The debate on fiduciary duties ended with the DOL rule win. The battle continues over the meaning of fiduciary and “best interest.”
Quiz Time: Do Investors Understand How Financial Services Really Works?
Financial literacy is a noble goal, but clients and investors would be better served by understanding some basics about the industry.
What’s Up With 12b-1 Fees?
As a fiduciary for your clients, should you invest in mutual funds that levy a 12b-1 fee?
DOL Fiduciary Rule Heading to OMB as Obama Gives Final State of the Union
An expedited OMB review of DOL's rule could put it out before April. Legal challenges are already being prepared.