More than 1,000 members of the National Association of Insurance and Financial Advisors lobbied members of Congress and their staffs to try to kill a Labor Department rule that would expand the definition of a fiduciary for those providing advice about retirement plans
Bachus bill could stall in upper chamber, but observers say Finra lobbying effort might help push it through
In essence, an investment advisory firm is much like any other retail enterprise. Keep the customers happy and profits will follow.
Gensler says JPMorgan loss proves regulations need to cover international contracts, as well
Financial Planning Coalition sends petition to Congress urging adoption of single standard of care; 'isolated pocket of opposition'
President Obama made the lives of advisers, accountants and taxpayers easier today by removing the burden of having to get permission to use trademarked tax strategies.
House panel will explore SEC reports recommending that the commission impose a universal fiduciary duty on anyone providing retail investment advice and harmonize regulations governing investment advisers and broker-dealers.
Investment products must generate income streams; advisers still on the fence about annuities, however
If you've set on a path to expand your business, you might be racking your brain trying to think of ways to attract new clients.
A congressional hearing next week that will delve into the issues of fiduciary duty and a self-regulatory organization for advisers also is likely to provide a platform to introduce an SRO bill — or at least an outline that could turn into a measure.
