Andy Friedman: 7 Dates That Will Force Congress to Act
Speaking at FSI OneVoice, Friedman says seven "forcing events" will lead Congress to act, despite otherwise continued "split government" in Washington.
Rove, Gibbs: How Advisors Can Distance Themselves From Wall St.
The storied political spinsters offer some imaging advice at FSI — both for advisors and for presidential hopeful Hillary Clinton.
White House Memo Offers a Peek at DOL Fiduciary Strategy
Two top Obama economic advisors write in an internal memo that DOL should tighten broker rules; they share some details from the long-awaited fiduciary redraft.
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.