New Share Classes in a DOL Fiduciary World
Regardless of the outcome of the DOL's fiduciary rule, new share classes may reduce conflicted advice, resulting in more money in investors’ pockets.
‘Business as Usual’ at SEC Despite Staff Vacancies
If confirmed, incoming SEC Chair Jay Clayton will be busy filling open vacancies on his staff.
Is the DOL Fiduciary Rule DOA Under Trump?
Just as the industry was ramping up its compliance with the DOL's fiduciary rule, Donald Trump's surprising win could throw its viability into question.
Warning: Don't Expect Revisions or Reversals in DOL Rule
As the DOL rolls out fiduciary rule guidance, advisors and BDs should not count on major revisions or reversals.
DOL Chief Perez Prepared to Explain Final Fiduciary Rule
As you read this column, you’re most likely also poring over the DOL's rule to redefine the definition of fiduciary under ERISA.
The SEC's Priorities in a Tricky Year
SEC Chair Mary Jo White said 2016 should be a “very busy” year for the agency in terms of rulemaking.
What Is — or Isn't — Crowdfunding, Anyway?
Are all three of the provisions that were ushered in under the JOBS Act to ease restrictions on capital raising actually crowdfunding?
Crowdfunding Will Help Build the New York Wheel
As investors and advisors await final equity crowdfunding rules from the SEC, capital raising options from other JOBS Act-related offerings are gaining steam.
For Once, Two Certainties in D.C.: New SEC Commissioners, DOL Fiduciary Rule
The New Year — yes, I’m talking about 2016 already — will bring with it two certainties: A final fiduciary rule will be unveiled and new commissioners will arrive at the SEC.
Dodd and Frank on Dodd-Frank
“We did very difficult, politically hard things” in the Dodd-Frank Act, former Massachusetts congressman Barney Frank said. “My head hurt.”