The Client: ERISA plans/institutional management
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October 19, 2017State Fiduciary Laws Seen Adding to Chaos, ConfusionMore states are expected to follow Nevada’s lead in fiduciary lawmaking.No Comments
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October 18, 2017Investor Defender Slams SEC Best Interest EnforcementConsumer Federation of America director argues against disclosure-only approach.No Comments
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October 16, 2017Lobbyists Sue First State-Run Retirement Savings PlanErisa Industry Committee says trend of state-run plans risks creating a patchwork of rules.No Comments
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October 10, 2017Consumer Advocates: Brokers Are Exploiting DOL RuleGroup takes issue with brokers who’ve moved clients from commission-based accounts into more expensive fee-based accounts.Last Comment: October 10, 2017
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October 2, 2017Why Most BDs Say They Want to Keep the DOL RuleBut most brokers also want it rolled back in certain areas.No Comments
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September 28, 2017Average Assets at FT Top 401(k) Advisors SkyrocketIn 2017 the average top 401 retirement plan advisor manages $650m more in DC plan assets than last year.No Comments
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September 28, 2017GOP Lawmaker Introduces Bill to Repeal DOL’s RuleBill would place fiduciary rule under SEC’s jurisdiction.No Comments
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September 27, 2017SEC Sharpens Cybersecurity, Boosts RIA ExamsChairman Jay Clayton also tells House Committee SEC will coordinate with DOL on fiduciary rule.TNo Comments
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September 20, 2017DOL Argues It Didn’t Overstep Congressional MandateWhile defending a legal challenge, the agency insisted it had authority to promulgate its fiduciary rule.Last Comment: September 20, 2017
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September 13, 2017Here’s What to Do in the DOL Rule Transition PeriodLaw firm produces checklist advisors can use to protect themselves and demonstrate compliance.No Comments
