Expect SEC Reg BI Actions to Heat Up: Law Firm
By Melanie WaddellDual registrants "may be particularly compelling targets" for the regulator, Gibson Dunn attorneys say.
June 26, 2024
House Panel Advances Bill to Torpedo DOL Fiduciary RuleThe bill would prevent Labor from using any funds to administer, implement or enforce the rule.
June 26, 2024
LPL Rep Suspended for Trading in Deceased Client's AccountThe advisor falsely stated that he spoke with the client about the trade before their death, FINRA said.
June 26, 2024
BlackRock to Add Private Assets to Model Portfolios for Wealthy ClientsThe firm will work with GeoWealth to offer private equity and debt funds in customized portfolios for financial advisors.
June 25, 2024
Here's How Much Americans Think They'll Need to Retire: SurveyThe savings goal identified in a new Schroders survey, while high, is actually lower than some prior studies.
June 25, 2024
Advisors Plan to Boost Clients' Private Equity Holdings: SurveyBlackstone, the alternative asset manager, queried financial professionals participating in its educational programming.
June 25, 2024
New Social Security Bill Calls for Study of Inflation ImpactA Social Security advocate called the bill "a smokescreen to confuse seniors."
June 25, 2024
Labor Secretary Considers Rewrite of Pension Risk Transfer RulesJulie Su, the acting DOL head, told Congress she's looking at issues such as private equity ownership and reinsurance.