What's Next for Build Back Better, Form CRS and the New Fiduciary Rule?
By Melanie WaddellGreg Valliere, Ron Rhoades and Fred Reish weigh in on what lies ahead for new laws and rules coming out of Washington in 2022.
August 26, 2021
Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SECRon Rhoades, Phyllis Borzi and others in the regulatory world discuss how Roper could shape issues like Reg BI and 12b-1 fees.
August 19, 2021
SEC Fines Robo-Advisor SoFi Wealth Over ETF ConflictsThe firm left some clients with taxable gains as it moved them into proprietary funds, the SEC said.
July 15, 2021
Trendspotter: Advisor Fee Structures Are ShiftingAdvisors have become more likely to offer fixed fees and hourly fees in addition to asset-based fees. Here's why.
June 14, 2021
SEC Plans More Changes to Accredited Investor DefinitionRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.
May 27, 2021
Judge Leaves Fate of Mass. Fiduciary Rule Unclear in Robinhood CaseBut the judge allowed the state's case against the brokerage to proceed.
April 27, 2021
New DOL Fiduciary Rule Creating 'Regulatory Whiplash': Attorneys"There is much to be concerned about" in a recent FAQ from the department, Eversheds Sutherland lawyers warn.
April 26, 2021
What to Do About the Return of the DOL RuleBy Dec. 20, broader "prohibited transaction exemption" rules will be mandatory, and advisors will need to comply.