The Practice: Regulatory/legal issues
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March 21, 2018Guess Which Big Regional Has Joined the Broker ProtocolWhile other firms see the protocol as ultimately damaging, this firm chooses “to overtly align” align with it.No Comments
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March 20, 2018What’s Next for The DOL's Fiduciary Reform Rules?
A recent court decision could put the Department of Labor out of the fiduciary-reform game in favor of the SEC, where such efforts are already underway. Or it could let a deregulation-minded administration smother the initiative altogether. Which outcome do you think is likelier?
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March 20, 2018DOL Won’t Enforce Parts of the DOL Rule Already in PlaceFeds back away from “best interest” requirement after appeals court negates consumer rule.No Comments
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March 20, 2018Morgan Stanley Advisor Faces Sexual Harassment SuitHe allegedly recruited gym employee as his assistant, subjected her to sleaze.No Comments
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March 20, 2018Finra Needs to Make the Move on Unpaid Arb AwardsThe industry’s self-regulator shouldn’t wait for Congress to set up award pools.No Comments
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March 20, 2018Merrill Lynch Whistleblowers Awarded Record $83 MillionDecision tied to suit alleging misuse of customer funds for proprietary trading.No Comments
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March 19, 2018Senate Passes Senior Financial Protection ActBill grants immunity to financial firms reporting suspected exploitation of seniors.No Comments
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March 19, 2018Wells Fargo Wealth Under Direct Scrutiny by the Feds: WSJIt isn’t just a matter of the bank looking into its own practices at this stage.Last Comment: March 19, 2018
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March 19, 2018With the DOL Pushed Back, Spotlight Shifts to an Uncertain SECThe stage is set for the SEC to set a broad fiduciary standard, but watchers ask when.No Comments
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March 19, 2018Merrill Chief Reaffirms Support for Beleaguered DOL RuleAndy Seig says the principles of the rule uphold a winning strategy for the firm.Last Comment: March 19, 2018
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