Lobbyists Gear Up to Prod New Congress on User Fees, Retirement, Cybersecurity
The IAA, for one, sees an opportunity to gain Republican support for an SEC user-fees bill.
Perez: DOL Continues Fiduciary Redraft Outreach
DOL wants to “understand with granularity” stakeholders’ problems and concerns regarding the revised rule, the Labor secretary says.
FINRA Releases New Version of Controversial CARDS Plan
FINRA is "committed" to CARDS and plans to move ahead with further changes to BrokerCheck, said Susan Axelrod at the FSI Advisor Summit.
DOL Chief’s Potential Departure Wouldn’t Stop Fiduciary Plan
In the unlikely event Labor Secretary Perez replaced Holder as attorney general, "stalwarts" like Borzi would keep DOL’s fiduciary fires burning, observers said.
FSI Offers Disability, Term Life Insurance for Members
FSI is “offering true large group long-term disability coverage that’s not available on the open market,” said CEO Dale Brown.
BDs, Trade Groups Team Up to Clarify Murky BD Fees
FINRA, SIFMA and other groups, with LPL and other BDs, have joined forces to develop rules that ensure BDs’ fees are easily understood by investors.
FSI Taps Cetera, First Allied Exec as Vice Chairman
Adam Antoniades takes on a new role at FSI, while Richard Lampen of Ladenburg Thalmann gets a new title as well.
DOL Fiduciary Redraft Opposed by 90% of FSI Advisors: FSI Poll
Advisors say the DOL should not redefine fiduciary under ERISA, according to an FSI poll. Most advisors also think the GOP will win the Senate.
5 Most Honored 2014 IA 25 Honorees
As a testament to their enduring influence, several of our current honorees have been here before.
The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.