All Eyes on SEC Chief to Move Fiduciary Forward, FINRA’s Ketchum Says
Meanwhile at SIFMA's regulatory conference, the Wall Street lobby released a study challenging the White House's claim that conflicted advice costs investors $17 billion annually.
SEC Warned to Halt Money Market Fund Rule Release
Financial Services Roundtable tells SEC to deal with money fund rule's "tax consequences" before moving ahead.
Watchdog Suing for Easier Access to Nonprofits’ Tax Forms
A judge ruled against the IRS' motion to dismiss a lawsuit by an advocacy group aiming to make nonprofits' Form 990s more accessible.
Retirees Suffer as 401(k) Rollover Boom Enriches Brokers
A three-month Bloomberg investigation found that former employees at major companies say sales reps lured them into rolling their 401(k)s into unsuitable investments.
House Passes $1.1 Trillion Government Budget
Lawmakers voted 359-67 to send the measure to the Senate, which is set to pass it later this week.
FSI Adds 700 Advisors to Its Membership Rolls
Berthel Fisher and WRP Investments will pay their reps’ membership dues for a year as FSI membership continues to grow.
Advisors’ Work Begins With Supreme Court’s Ruling on Health Law
RIAs who own small businesses, and the stock markets, can now begin digesting the reality of the PPACA.
FSI Reports Record Attendees for Annual OneVoice Conference
More than 600 registrants and 65 exhibitors already for Jan. 23-25 conference for independent broker-dealer advocacy group.
LPL Financial Enrolls Its 12,600 Advisors With FSI
LPL Financial says all its advisors are now members of the Financial Services Institute, an advocacy group for independent broker-dealers and financial advisors.