Top 3 Low-Cost Ways for IBDs to Drive Post-DOL Value to Advisors
As broker-dealers await regulatory certainty, "go big or go home" is a false choice for firms that want to do right by their advisors.
Betterment for Business Adds Ex-DOL Official to Advisory Board
A former BlackRock retirement strategist is also joining the advisory board of the firm's 401(k) division, and both newcomers are women.
Rep. Jeb Hensarling — Dodd-Frank Doomsayer: The 2017 IA 25
Financial Choice Act moves to the full House, but doubts persists as to whether there’s appetite in Congress to deal with Dodd-Frank reform.
NAFA Presses DOL to Use Procedures Law to Delay Fiduciary Rule
An Administrative Procedure Act provision allowing delay of a rule during a court challenge seems to be the administration's best hope, the annuity group says.
SEC Halts Alleged Fraud by Unregistered Firm: Enforcement
The FTC obtained a court order requiring the owner of precious metals scam to surrender his Florida home.
Trump Signs Resolution Abolishing State Run Auto-IRAs
H.J.Res 66 stops states from establishing retirement accounts for private-sector workers who don’t have retirement plans at work.
Following WannaCry, SEC Issues Ransomware Alert
The SEC identifies three preventive measures that many firms aren't taking.
Dallas Cowboy Sues Ameriprise Over Advisor’s Fraud
The football player claims the firm never told him about his ex-advisor's suspension or moved to stop fraud.
DOL Must Further Delay Fiduciary Rule, Lawmakers Told
“I’m hopeful the Trump administration will delay and handle this as a regulatory matter,” former EBSA head Brad Campbell said.
For DOL, Killing Fiduciary Rule Easier Said Than Done
Delaying the DOL fiduciary rule is not impossible but it might face legal challenges depending on how it's done.