Invest in Others Is Now Taking Advisor Award Nominations
Invest in Others will take names through April 15, and the nonprofit is expanding its work for and with FAs, chairman Bill Dwyer says.
DOL Urged to Hold Off on Proposed Fee Guide
A group of business organizations turned up the heat this week in its campaign against a proposed DOL fee disclosure guide.
5 Disruptors That Will Transform Advisors’ Businesses
In order to succeed, advisors must harness major trends already in process—those who don’t will fail.
Gridlock Likely in New Congress as Fiduciary Regs Hang in Balance
The list of regulations and legislation that the advisory industry will be watching — and lobbying to influence — in the new year is long.
FINRA Responds to SIFMA's Latest Critiques of Proposed Data System
Industry trade groups raise fresh concerns with latest plan to collect broker-dealer account data through Comprehensive Automated Risk Data System.
Two Other BD Issues Still Loom
The independent broker-dealer community has consistently and loudly derided the Department of Labor's on-again, off-again plan to redefine fiduciary under the Employee Retirement Income Security Act. In late October, Labor Secretary Thomas Perez said the department continues to “reach out to stakeholders” regarding the redraft of its rule so that...
New Hire Roundup: John Mendez Nominated to Be SIPC Chairman
In another personnel move, Craig Anzlovar has joined Pioneer Investments as fixed income client portfolio manager.
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.
Why NASAA Is Leading the Charge Against Elder Fraud
At least one-third of the enforcement actions initiated by state securities regulators involve senior investors, and NASAA is tackling the issue head on.
Could FPA’s Waning Power Lead to Its Untimely Demise?
Its membership has shrunk even as the number of CFP certificants has risen. The FPA is at a crossroads.