Regulation And Legislation

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NEWS RETIREMENT PLANNING APR 06, 2016
Historical timeline of fiduciary duty for financial advice

Going under the hood of the new DOL fiduciary rule
NEWS RETIREMENT PLANNING APR 06, 2016
Going under the hood of the new DOL fiduciary rule

The Labor Department has just revealed its controversial new rule intended to raise investment advice standards on retirement accounts. Sign up for our webcast taking a deep dive into how the changes will affect your business. Register now for this free webcast <a href=&quot;https://home.investmentnews.com/clickshare/eventPurchase.do?CSProduct=investmentnews-event&amp;CSEventId=1259&quot;_blank&quot;>here</a>)</i></b>

DOL releases final fiduciary rule
NEWS REGULATION AND LEGISLATION APR 06, 2016
DOL releases final fiduciary rule

Here is your first look at the actual regulation detailing requirements for advice to retirement accounts.

NEWS REGULATION AND LEGISLATION APR 06, 2016
DOL set to unveil 'streamlined' fiduciary rule

Labor Department lays out the final version of its regulation to raise investment advice standards for retirement accounts. <a href=&quot;https://home.investmentnews.com/clickshare/eventPurchase.do?CSProduct=investmentnews-event&amp;CSEventId=1259&quot; target=&quot;_blank&quot;>Sign up</a> for our webcast taking a deep dive into how the changes will affect your business.

From Hillary Clinton to Charles Schwab, top quotes on the DOL fiduciary rule
NEWS REGULATION AND LEGISLATION APR 06, 2016
From Hillary Clinton to Charles Schwab, top quotes on the DOL fiduciary rule

Politicians, custodians, broker-dealers, wirehouses, advisers and more shared their perspectives on the landmark legislation.

What changes to look for in the final DOL fiduciary rule
NEWS REGULATION AND LEGISLATION APR 06, 2016
What changes to look for in the final DOL fiduciary rule

Advocates, opponents of the rule seek similar alterations, and we'll likely know Wednesday if they were made.

Three ways to take advantage of shortcomings in the DOL fiduciary rule
NEWS REGULATION AND LEGISLATION APR 06, 2016
Three ways to take advantage of shortcomings in the DOL fiduciary rule

Advisers can use the rule's deficiencies to rise above the competition in navigating the new landscape.

The DOL fiduciary rule could push these firms' variable annuity sales even lower
NEWS LIFE INSURANCE AND ANNUITIES APR 06, 2016
The DOL fiduciary rule could push these firms' variable annuity sales even lower

Only one firm, MetLife, posted any substantial gains, as market volatility and fixed indexed annuities cut into VA business.

NEWS BROKER DEALERS APR 06, 2016
Despite industry fears, DOL's fiduciary rule is just more of the same

Scan of recent orders and reports from SEC, Finra shows the advice industry is already feeling the effects of fiduciary.

Ted Cruz, gaining anti-Trump momentum, seen as friend of financial industry
NEWS REGULATION AND LEGISLATION APR 06, 2016
Ted Cruz, gaining anti-Trump momentum, seen as friend of financial industry

Republican presidential nominee is a foe of regulation and has offered a tax plan that could appeal to advisers.

Industry should understand being a fiduciary is right for both clients and business
NEWS PRACTICE MANAGEMENT APR 06, 2016
Industry should understand being a fiduciary is right for both clients and business

It's much easier to put clients first and keep them there than to find a new tool or product to sell.

DOL, SEC fiduciary rules may diverge, Mary Jo White tells lawmakers
NEWS REGULATION AND LEGISLATION APR 06, 2016
DOL, SEC fiduciary rules may diverge, Mary Jo White tells lawmakers

The Securities and Exchange Commission chairwoman said the agencies are separate, with different mandates.

Finra: Broker charged $11M in commissions for nontraded REITs and BDCs and lied about it
NEWS ALTERNATIVES APR 06, 2016
Finra: Broker charged $11M in commissions for nontraded REITs and BDCs and lied about it

Regulator said he failed to tell Native American tribe about fees.

SEC Investor Advisory Committee calls for better mutual fund fee disclosure
NEWS PRACTICE MANAGEMENT APR 05, 2016
SEC Investor Advisory Committee calls for better mutual fund fee disclosure

Group's recommendations include showing fees in dollar amounts on customer account statements.

DOL rule could help small company retirement plans
NEWS RETIREMENT PLANNING APR 05, 2016
DOL rule could help small company retirement plans

The impending fiduciary rule would shield owners from some lawsuits.

NEWS REGULATION AND LEGISLATION APR 05, 2016
Frequently asked questions about the DOL fiduciary rule

Answers to common sources of confusion or misunderstanding about the new regulation.

OMB completes review of DOL fiduciary rule
NEWS RETIREMENT PLANNING APR 05, 2016
OMB completes review of DOL fiduciary rule

The Labor Department cleared the last step in the regulatory process before release of its final rule.

How brokers can address potential revenue conflicts under DOL fiduciary rule
NEWS REGULATION AND LEGISLATION APR 05, 2016
How brokers can address potential revenue conflicts under DOL fiduciary rule

12b-1 fees and revenue sharing may need to be treated differently under the new fiduciary regulatory structure.

NEWS ETFS APR 05, 2016
DOL rule silver lining? It may trigger a shift of $1 trillion to ETFs

Five specific aspects of the DOL's new rule that could send assets flooding into ETFs.

NEWS RETIREMENT PLANNING APR 05, 2016
Wave of Finra arbitration claims expected from bad bets on energy

Investors claim brokers put too much of their nest eggs into oil and gas companies.