Defining Who Is a Fiduciary Is Central to ERISA, Biden's DOL Pick Says
By Melanie WaddellLisa Gomez, tapped to lead EBSA, told senators she looks forward to "taking another look at the conflict of interest rule."
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.
April 21, 2021
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's PeirceThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 20, 2021
Consumer Group Presses SEC's Gensler to Define 'Best Interest'Spelling out this definition is the only way to ensure Reg BI has any teeth, consumer advocate Barbara Roper says.