Finra files cease-and-desist order against brokerage firm for sales to older customers.
Financial planners appreciate the simplifying aspects but wonder about specifics.
U.S. District Judge Richard Leon made public Tuesday his opinion in a lawsuit over CFP Board's disciplinary action related to adviser use of the 'fee-only' label.
Washington's political atmosphere makes the panel too adversarial to get anything done.
Possible speaker of the House of Representatives understands issues important to advisers better than most lawmakers.
Forget China and the Fed. Washington becomes the focus with Sept. 30 deadline for funding looming.
A September hearing and possible riders attached to a spending bill could thwart DOL's efforts.
Background makes Arkansas legislator, no fan of DOL fiduciary proposal, a go-to source on financial services issues.
Regulator says Finra and MSRB should issue rules 'requiring the disclosure of mark-ups and mark-downs.'
