The Client: ERISA plans/institutional management
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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
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March 27, 2018FAs Warned: Stay Out of Harm’s WayAre you unknowingly breaching your duty of care?Last Comment: March 28, 2018
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March 21, 2018As DOL Rule is Struck Down, Fears Resurface Over Investor ProtectionIndustry groups could be emboldened to push for a watered-down rule that's mainly about marketing.Last Comment: March 22, 2018
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March 21, 2018Fiduciary Rule’s Court Setback Isn’t End of StoryBut the likelihood of a resurrection of the DOL fiduciary rule is slim.No Comments
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December 26, 2017Biggest Story of the Year: Trump to Halt Fiduciary Rule (Feb. 3)In a year focused on impending regulation and the performance of a new president, it's hardly surprising that a story on Donald Trump's intentions for the fiduciary rule was the top read for 2017 ...Last Comment: December 26, 2017
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November 28, 2017DOL Fiduciary Rule Delay is Now OfficialDelay pushes back applicability of the rule’s best interest contract exemption.No Comments
