The Practice: Regulatory/legal issues
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April 12, 2017FAs Achieve Fiduciary Role Even as DOL Hits PauseWhat are advisors doing now that the Department of Labor has delayed its fiduciary rule?
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April 12, 2017Finra Complaint Expungements Are Getting WordierArbitrators respond to Finra’s call for more detail on why beefs get removed.Last Comment: April 12, 2017
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April 11, 2017What Will Ultimately Happen with the DOL Fiduciary Rule?
Originally planned to come into effect Monday, the Department of Labor's fiduciary rule has now been delayed until June 9 and by presidential instruction is now under review. Whether or not you agree with the rule, what do you think is the likelihood of survival?
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April 11, 2017IBDs Move Toward the Fiduciary StandardDOL rule’s fate aside, firms are positioning themselves as fiduciaries.No Comments
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April 11, 2017Wells Fargo Forks Out $5.4M to Whistleblower AdvisorAs well as back pay, damages and legal fees, the bank must re-hire him.No Comments
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April 10, 2017Morningstar Thinks Fiduciary Rule Repeal is UnlikelyMost likely change to rule after review will be to reduce risk of class action lawsuits against firms.Last Comment: April 10, 2017
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April 10, 2017Finra Bars Former Commonwealth Financial BrokerBroker failed to appear at hearings regarding alleged pyramid schemes.Last Comment: April 10, 2017
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April 7, 2017Senate Panel Approves Jay Clayton to Head SECTrump nominee now needs full Senate confirmation, expected later this month.No Comments
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April 6, 2017Cybersecurity Assessment is Key for Advisor FirmsIdentifying vulnerabilities and determining who has access to important data are essential to preparedness.No Comments
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April 5, 2017DOL Officially Delays Fiduciary Rule by at Least 60 DaysA review of the rule, meanwhile, is expected to last until 2018.Last Comment: April 5, 2017
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