5 New Compliance Headaches for Advisors, BDs
As Labor Day approaches, here are five big compliance developments advisors may have missed in recent months.
DOL Advances State-Based Retirement Plan Rule
DOL has filed with OMB its proposed rule designed to make it easier for states to offer retirement plans without running afoul of ERISA.
House Panels to Hold Hearing on DOL Fiduciary Rule
The hearing could lead to the markup of a bill that would stop the DOL rule until the SEC comes out with its own.
Fiduciary September 2015: A Historic Time for Fiduciary Advice
Reclaim your Advisers Act heritage, urges the Institute for The Fiduciary Standard, and tell your story to investors in the public square.
Should Advisors Change How They Charge?
Over time, good financial advice can make a difference of hundreds of thousands of dollars to clients — and so can how it's paid for.
DOL Set to Issue Final Fiduciary Rule
Even before the mid-August hearings at DOL headquarters, Labor Secretary Tom Perez confirmed: A final rule will be issued once the comment period expires.
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.
DOL, SEC Enforcement: DOL Wins Settlement for Whistleblowers
Meanwhile, the SEC charged a former investment bank analyst who worked in JPMorgan’s San Francisco office with insider trading.
The 2015 Broker-Dealers of the Year Are Ready to Rumble
The Broker-Dealers of the Year, as chosen by their own reps, will take on the DOL and anyone else who threatens the IBD model.