What DOL Fiduciary Victory Feels Like: The Texas Court Decision
Seven challenges to the DOL fiduciary rule were noted and refuted in Judge Barbara Lynn's decision.
SEC Says Advisor Stole From Clients to Pay for Country Club, Private Jet: Enforcement
The SEC also barred a private equity advisor for improper withdrawals from funds.
SEC's Top 5 Advisor Compliance Failures
An OCIE alert highlights the top deficiencies found in advisor exams.
Debating Whether Dodd-Frank Is Worth Saving
Is Dodd-Frank an over-regulating recovery killer, or a necessary solution to avoiding future financial crises?
Hensarling’s Dodd-Frank Do-Over Guts CFPB, Memo Reveals
“The Hensarling proposal would transform the bureau from an effective watchdog into a toy poodle,” Sen. Sherrod Brown said of the Choice Act.
$4.7 Trillion 401(k) Market ‘There for the Taking’ for RIAs
"It’s a wide open competitive landscape," says Skip Schweiss of TD Ameritrade.
Congressmen Aim to Block Obama-Era Retirement Rules
Two Republican congressmen have introduced resolutions to block an Obama administration regulation that allowed state-administered IRA plans to avoid ERISA coverage.
Morgan Stanley Grabs $4.6M Merrill Team
The recruiting news comes as the rival wirehouses take divergent paths with their post-fiduciary rule strategies.
Bogle: ‘Fiduciary Principle Will Live On’ No Matter What
The lower cost funds and fee-based accounts created in response to the fiduciary rule will remain, writes the former Vanguard CEO.
Labor Pick Puzder’s Nomination Hearing Set for Feb. 16
Acting Labor Secretary Hugler likely will soon act to postpone the fiduciary rule’s April 10 compliance date, says Wagner attorney Tom Clark.