DOL Fiduciary Redraft Would Kill Many Small-Biz Retirement Plans: Survey
Thirty percent of small businesses say it's “at least somewhat likely” they will eliminate employee retirement plans under DOL's proposal, a Greenwald survey found.
Lawmakers’ Prodding of SEC, DOL Fiduciary Collaboration a ‘Tactic,’ Consumer Groups Say
Lawmakers want SEC to go first on fiduciary because BDs and insurers expect to find the commission's rule more favorable, suggests CFA's Barbara Roper.
SEC’s White Pleads for Advisor Exam Funds; Rep. Waters ‘Pushing Hard’ for User Fees Bill
In 2004, the SEC “had 19 examiners per trillion dollars in investment advisor assets under management,” says White. “Today, we have only eight.”
The 2014 IA 25 Special Report
This is the 12th year that we have published the IA 25, our annual list of the most influential people in and around the advisor industry.
The IA 25 for 2014
This is our 12th annual IA 25 list, bringing together the most influential people in and around the advisor industry.
DOL Fiduciary Plan Could Hurt Workers Changing Jobs: Study
The DOL fiduciary proposal could lead more workers, particularly lower earners, to cash out their retirement plans by barring them from advice, Quantria Strategies says.
White, Borzi and Legislators Focus on Fiduciary
Less than a month apart, the women behind the crafting of fiduciary rulemakings at the Department of Labor and the Securities and Exchange Commission made some definitive comments about their respective proposals.
DOL Moving Forward on Fiduciary Redraft: Perez
Labor Secretary Thomas Perez said to expect a redraft "in the coming months" while announcing a plan to require 401(k) fee disclosure guides.
DOL Fiduciary Plan Raises Concern of Democratic Coalition
The 30 House Democrats' worries include limiting access to advice for low- and middle-income people.
DOL Seen as First Mover on Fiduciary
The SEC will let the DOL move first in releasing its fiduciary redraft, which the DOL said won’t come until August, two industry officials predicted.