Galvin Charges Firm With Unregistered, Fraudulent Advising: Enforcement
Bruce Horowitz, whose company was charged, also has a record of grand larceny and fraud in New York.
In Trump Policy Uncertainty, Clarity on Cybersecurity Positions
Despite still-vague policy positions, how Trump would handle privacy and cybersecurity matters is one area that can be better deciphered.
Coalition Urges Trump Not to Dump DOL’s Fiduciary Rule
Groups want Trump to keep campaign promise; also DOL urges judge in NAFA case not to stay his decision.
Can Trump, GOP Stop DOL Rule? Not Likely
Political movement has created doubt in the industry over whether to continue investing in technology to comply with a best interest standard.
3 Critical Areas Regulators Are Watching
There are three key issues that advisors are ignoring at their regulatory or financial peril.
Is the DOL Fiduciary Rule DOA Under Trump?
Just as the industry was ramping up its compliance with the DOL's fiduciary rule, Donald Trump's surprising win could throw its viability into question.
Judge in Texas Case ‘Very Hard’ on DOL Rule, Lawyer Says
CFP Board lawyer in court room, though, said both sides made “very persuasive arguments.”
SEC’s White Warns: ‘Serious Mistake’ to Weaken Securities Rules
SEC Chairwoman warned that the agency must not retreat from tougher regulation and enforcement.
Despite Threats to DOL Rule, Advisors Urged to Finish Compliance Efforts
IAA’s Neil Simon says advisors should be prepared by the April deadline despite the uncertainty.
Capital One to End Commissions in Advised IRAs
The brokerage firm, which has roughly $25 billion of assets, makes the move in response to the DOL fiduciary rule.