Bill to Delay DOL Fiduciary Rulemaking Is Revived
Rep. Ann Wagner, R-Mo., has reintroduced a bill to force the SEC to “go first” in issuing a fiduciary rulemaking before DOL.
Top 15 States With Most RIAs
The number of RIA firms increased to 31,975, according to SIFMA’s 2014 Factbook, despite an active merger year.
Top 10 States With Most Millionaires: 2015
Several states made big jumps on the list thanks to the oil boom, Phoenix Marketing found.
Rainbow Warriors: Working With LGBT Clients
Investment Advisor’s February cover story focuses on how LGBT clients need help protecting their finances from a blitz of varying state laws.
Earning Credentials in LGBT Planning
What holds back same-sex couples with good incomes from working with financial planners?
Health Care in Retirement: How to Help Clients Plan
Financial advisors take a growing role in optimizing clients’ health care spending.
The Keys to Safeguarding Your Client Base
These crucial skills can protect your advisory business from competitors.
Illinois Enacts Nation’s First Required Retirement Plan Law
In what is a first for the nation, the State of Illinois this month passed into law a requirement that most employers must offer automatic retirement savings programs.
S&P Suspended, Fined Almost $80 Million in SEC, State Cases
Standard & Poor’s agreed to be suspended from rating the biggest part of the commercial-mortgage bond market over claims it bent criteria to win business.
SEC Bans Credit Rater S&P From Big Part of Bond Market
Ban will last a year as part of a $60 million settlement regarding ratings of commercial-mortgage bonds in 2011.