CFP Board, FPA Advocates Agree on Likely Timetable for DOL Fiduciary Rule
Marilyn Mohrman-Gillis, Karen Nystrom think it likely DOL rule will be out this year, but SEC fiduciary rulemaking prospects still cloudy.
No Rules Yet, but Prepare Now
Regulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
What Is — or Isn't — Crowdfunding, Anyway?
Are all three of the provisions that were ushered in under the JOBS Act to ease restrictions on capital raising actually crowdfunding?
Treasury Considers Anti-Money Laundering Regs
Anti-money laundering requirements — are they coming soon to an advisory firm near you? Maybe, perhaps as soon as next year.
Crowdfunding Will Help Build the New York Wheel
As investors and advisors await final equity crowdfunding rules from the SEC, capital raising options from other JOBS Act-related offerings are gaining steam.
For Compliant Advisors, Known (and Unknowable) Unknowns
The SEC, FINRA, DOL — regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.
House GOP Makes Last-Ditch Effort to Stall DOL Fiduciary Rule
Rep. Jeb Hensarling said he would advance Rep. Ann Wagner's Retail Investor Protection Act to “stop” the Department of Labor's “misguided” fiduciary rule.
Planning Challenges Persist for LGBT Clients Despite Marriage Ruling
At Pride Planners conference, experts discuss the remaining legal, estate planning and advocacy issues for LGBT clients, married or not.
Over Half of House Democrats Call for Changes in DOL Fiduciary Plan
A comment letter signed by 96 House Democrats asks for a less prescriptive approach to fiduciary regulation.
Boehner’s Exit Means No Government Shutdown (for Now): Analysts
Political watchers say the departing House speaker will negotiate a short-term funding bill. But when it expires on Dec. 11, the battle will begin again.