The Client: ERISA plans/institutional management
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May 14, 2018Scottrade Pushes Back on Galvin’s Fiduciary Rule CaseCompany’s lawyers argue the Massachusetts securities regulator is the only one who believes the rule exists.No Comments
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May 8, 2018DOL Refuses to Drop Fiduciary Rule, But Won’t Pursue ViolationsAgency provides guidance in response to expected issuance of a mandate from appeals court vacating the rule.Last Comment: May 8, 2018
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May 3, 2018Fifth Circuit Rejects Attempts to Save Fiduciary RuleMeanwhile, SEC boss touts commissions’s proposal for a best interest regulation.No Comments
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May 1, 2018Wells Fargo Wouldn't Be Alone Pushing 401(k) Clients into Proprietary ProductsMany record keepers were able to do so prior to the DOL’s fiduciary rule going into effect last summer.No Comments
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April 27, 2018DOL Fiduciary Rule Won’t Die, If AARP and Three States Can Help ItCalifornia, Oregon and New York attorneys general and the AARP file motions to intervene in appeals court ruling vacating the DOL’s rule.Last Comment: April 27, 2018
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April 24, 2018DOL Likely Won’t Fight for Fiduciary Rule, Former Exec SaysSEC may have more room to work on its best-interest standard.No Comments
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April 19, 2018Galvin Keeps Heat on Scottrade Fiduciary Rule CaseMassachusetts’ top securities watchdog is trying to block the case from removal to federal court as requested by the firm.No Comments
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April 16, 2018Midterm Wins for Dems Could Lead to More State Fiduciary RulesState fiduciary rules would stand as long as they don’t impact ERISA-governed plans, according to an attorney.No Comments
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April 16, 2018Investor Advocates Are Cautious about SEC Fiduciary RuleOutline for Wednesday’s discussion has components of a strong rule, according to consumer lobby.No Comments
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March 28, 2018NAFA, DOL Drop Appeal Against Fiduciary RuleThe Fifth Circuit decision against the best-interest ruling earlier this month made NAFA’s appeal moot, director says.No Comments
