House Panel Sets Wednesday Markup on Bill to Halt DOL Fiduciary Rule
The Retail lnvestor Protection Act would force the DOL to wait for an SEC fiduciary rule.
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.
Over Half of House Democrats Call for Changes in DOL Fiduciary Plan
A comment letter signed by 96 House Democrats asks for a less prescriptive approach to fiduciary regulation.
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.
CFA's Roper Gives It to the Brokerage Industry
While the DOL has received a “few valuable nuggets” regarding its proposed fiduciary rule, there are other suggestions itcan “safely ignore,” said Barbara Roper.
Arthur Levitt: SEC Deadlocked on Fiduciary, Advisors Need DOL Rule
As the Investment Advisers Act turns 75, ex-SEC Chairman Arthur Levitt, CFA’s Barbara Roper and more discuss why the industry needs a strong fiduciary standard.
Lawmakers Ask DOL to Start Over on Fiduciary Rule
“We feel it is in the interest of our constituents that the DOL repropose this fiduciary regulation,” lawmakers tell Labor’s Thomas Perez.
DOL Fiduciary Redraft Will Be Changed, Top Official Says
DOL is ‘committed’ to fiduciary redraft but not ‘wedded to any particular’ wording or text, says DOL’s Hauser.
DOL Fiduciary Foes Said to Be Writing Best-Interest Standard Bill
The Department of Labor’s plan to revamp the definition of fiduciary under ERISA is likely to face yet another legislative hurdle.
SEC Panel: 2 Big Problems With Advisor Background Checks
Investors don’t check advisor and rep backgrounds, and the data itself can be problematic.