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Registered Rep.
January 16, 2013
Diana Britton |
DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's.   |
Registered Rep.
April 1, 2013
Diana Britton |
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game. |
Registered Rep.
April 17, 2015
Megan Leonhardt |
DOL Moves Industry Closer to Harmonization The Department of Labor's proposal may represent the first step in a harmonized fiduciary standard by maintaining flexibility of business models. |
Registered Rep.
January 23, 2015
Megan Leonhardt |
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts. |
Registered Rep.
September 13, 2011
Kristen French |
Long Legislative Fight Kicks Off with House Hearing On SRO, Fiduciary Standard Congressman Scott Garrett opened Tuesday's House Financial Services Committee hearing on an SRO for investment advisers and a fiduciary standard for broker/dealers with a threat. |
Financial Advisor
November 2012
Karen DeMasters |
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals. |
Investment Advisor
October 2008
Melanie Waddell |
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. |
Registered Rep.
July 15, 2011
Kristen French |
SIFMA Wants Fiduciary Standard Governed By Client Contracts Broker/dealer trade group SIFMA fired off the latest round in the ongoing tangle over the fiduciary standard Thursday. The group sent a letter to the SEC that recommends creating for broker/dealers a modified version of the fiduciary standard that currently governs investment advisers. |
On Wall Street
June 1, 2013 |
Fiduciary Standard Debate Heats Up As federal regulators move ahead with a pair of rulemaking proceedings that could dramatically reshape the financial advisory industry, advocates of broader fiduciary responsibilities are urging advisors to make their voices heard in Washington. |
Investment Advisor
July 1, 2011
Melanie Waddell |
Fiduciary D-Day Arrives As the SEC launches into rulemaking, lots of 'thorny issues' will surface. |
Registered Rep.
May 26, 2005
Kristen French |
Under ERISA, No Padding Profits with Revenue Sharing Under a recent Department of Labor directive, revenue-sharing arrangements between mutual funds and advisors to employee benefit plans can no longer be used to pad profits. |
Investment Advisor
April 1, 2011 |
SEC and the Fiduciary Study: Politics and the Fiduciary Standard AdvisorOne Wealth Editor Kate McBride explains the political process under which Dodd Frank was passed, up to the SEC's reports on an SRO and fiduciary standard |
Financial Advisor
March 2011
Jeff Schlegel |
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. |
Investment Advisor
July 2010
Melanie Waddell |
Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules. |
Investment Advisor
June 2010
Melanie Waddell |
Retirement Planning: Lifetime Income, Target Date Funds To Center Stage DOL, SEC plan three-step target date fund guidance. |
Investment Advisor
April 2010
Melanie Waddell |
Retirement Planning: New Advice Rules Favor RIAs With the new rules brokers would charge a level fee, and couldn't give 'off-model' computer advice. |
Investment Advisor
May 1, 2011
Bob Clark |
The Polar Bears Thawing out our modern black and white thinking could save the fiduciary standard. I don't usually write about politics, except when it has a direct impact on financial advice, and this appears to be one of those times. |
Registered Rep.
September 8, 2011
French & Britton |
House Proposes Bill That Would Give SROs Oversight of Investment Advisers The bill was trotted out by House Financial Services Committee Chairman Spencer Bacchus in advance of a Sept. 13 hearing to review provisions of Dodd-Frank that govern the regulation of broker/dealers and investment advisers. |
Registered Rep.
April 27, 2010
Kristen French |
Goldman Case Boosts Odds For Fiduciary Standard In Senate Bill The Senate hearing with Goldman Sachs may increase the likelihood that a fiduciary standard for brokers will make it into Senator Christopher Dodd's financial regulatory reform legislation. |
Registered Rep.
August 29, 2012
Diana Britton |
Turn Up the Heat Amid the summer doldrums, heavyweights are turning up the heat on major regulatory issues facing the advisor industry. But will they get the attention of the regulators? |
Financial Planning
September 1, 2008
Blaine Aikin |
New Disclosure Regimen Planners are facing considerable competition from brokers in the arena of retirement plans, and the reality that brokers typically don't work as fiduciaries is a thorn in planners' sides. |
Investment Advisor
September 2007
Melanie Waddell |
Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs. |
Registered Rep.
January 11, 2011
Kristen French |
Expect SRO For Advisers, Fiduciary Fix For Brokers Compliance consultants, securities lawyers and lobbyists overwhelmingly agree that the SEC will recommend both. |
Registered Rep.
February 28, 2012
Diana Britton |
Yield of Dreams: FSI to DOL -You're on Your Own Last September, the Department of Labor announced it would repropose its rule on the application of the fiduciary standard to retirement accounts. This was a major coup for the Financial Services Institute, which has been vehemently opposed to the rule. |
Investment Advisor
February 1, 2011
Melanie Waddell |
2011: The Year the Advisors' Playing Field Fundamentally Changes All eyes this year will be focused on the exchanges that will ensue between lawmakers and the Securities and Exchange Commission regarding putting brokers under a fiduciary mandate and appointing a self-regulatory organization. |
Investment Advisor
March 1, 2011
Kathleen Mcbride |
SEC and the Fiduciary Study: The Process Why the fiduciary standard became such a hot topic for regulators |
Financial Advisor
September 2012
Jeff Schlegel |
Not Making The Grade Financial advisors aren't as fiduciary as they should be, a new survey finds. |
Registered Rep.
December 1, 2005
Andrew Osterland |
Brokering Advice The essential difference between brokers and registered advisors, say financial planners, is fiduciary duty. The notion that b/ds have a lighter burden of regulation than registered advisors, however, is something the securities industry vigorously disputes. |
Financial Advisor
October 2012 |
Stalled: Tougher Fiduciary Standard For Brokers Even with Wall Street and consumer advocates allied in pushing for it, a U.S. Securities and Exchange Commission proposal to raise standards for brokers advising retail investors has run aground. |
On Wall Street
January 1, 2011
Steve Garmhausen |
DOL: Advice Rules To Get Tougher The Department of Labor is poised to toughen rules for consultants and advisors that serve retirement plans, as past industry practices have fallen under new scrutiny. |
Investment Advisor
May 2010
Bob Clark |
Clark at Large: Hope and Change Hope is waning for a fiduciary standard for brokers. But the battle's not over yet. |
Investment Advisor
December 2009
Melanie Waddell |
Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions... |
Financial Advisor
September 2011 |
Frontline News Laboring Over A Fiduciary Standard... Advisory/Brokerage Industry Still Climbing Out Of Meltdown Wreckage... Compliance Hot Spots... etc. |
Registered Rep.
August 30, 2011
Kristen French |
House Plans Hearing on SRO for Advisors for Sept. 13 The subcommittee is expected to review who should be responsible for examining investment advisers. |
Investment Advisor
September 2010
Melanie Waddell |
Washington Watch: Industry Heeds SEC's Call for Comments SEC flooded with comments on fiduciary standard; 'fiduciary forum' on September 24. |
Registered Rep.
May 6, 2010
Kristen French |
Washington Goes Crazy For Fiduciary Standard A number of senators are scrambling to get on the fiduciary bandwagon following last weeks' Goldman Sachs hearings. |
Registered Rep.
September 15, 2010
Kristen French |
Investors Think Insurance Agents, Brokers Are Fiduciaries Investors believe everyone who provides financial advice is already a fiduciary, according to a survey released Wednesday by a group of investment adviser and consumer protection groups. |
Registered Rep.
March 15, 2010
Kristen French |
Dodd Bill Requires Year-Long Study of Fiduciary Issue, SRO Idea, Gives SEC Muscle Banking reform legislation introduced Monday would give the SEC greater enforcement muscle over RIAs, and would require it to conduct a study examining the effectiveness of extending the fiduciary standard to brokers. |
Investment Advisor
October 2010
Bob Clark |
The Empire Steps Up The Financial Planning Coalition's letter on the Securities and Exchange Commission's "Study Regarding Obligations of Brokers, Dealers and Investment Advisers" will knock your socks off. |
Investment Advisor
August 2009
Melanie Waddell |
Danger & Opportunity: Consumers Take Center Stage of Reform Debate Financial services reform continues to unfold, with two pieces of legislation being sent to Capitol Hill in July aimed at protecting investors. |
Investment Advisor
March 2007
Saxon & Breyfogle |
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. |
On Wall Street
February 1, 2013
Kenneth Corbin |
Regulatory Forecast Bodes Change Advisors could see talks on oversight and a fiduciary standard move forward this year. |
Investment Advisor
March 1, 2011
Melanie Waddell |
SEC Fiduciary Rule May Hit by Summer Despite the advisory industry's hopes that the Securities and Exchange Commission would get a quick start on writing a rule to put brokers under the same fiduciary standard as advisors, it looks as though a rulemaking could come by summer. |
Investment Advisor
June 1, 2011
Melanie Waddell |
Schapiro Says SEC to Focus in July on Fiduciary, 12b-1 The Commission will look at fund regulation "in tandem" with RIA/BD reform. |
Investment Advisor
January 2008
Melanie Waddell |
DOL Issues Fee Disclosure Regs The Department of Labor introduced its proposed rules on enhancing the disclosures regarding fees that fiduciaries of employee benefits plans receive. |
Investment Advisor
October 2010
Melanie Waddell |
Obama Calls for End to Some Bush-Era Tax Cuts; Fiduciary Lobbying Continues Some experts see a tax deal in early 2011 |
Investment Advisor
October 2010
Melanie Waddell |
Dissecting the FSI's Position on Fiduciary As a new study finds investors still confused, Financial Services Institute president Dale Brown presents the independent broker/dealer perspective. |
Registered Rep.
August 28, 2007
John Churchill |
SEC Principal Trade Proposal: A Stalling Tactic? A 2-year "interim rule" would allow large brokerage firms that also have many other business lines to meet their fiduciary obligations to customers while still engaging in principal trading activity -- selling customers products from their own inventory. |
Investment Advisor
December 2009 |
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. |
BusinessWeek
August 30, 2004
Amy Borrus |
Brokers Aren't Advisers The line between brokers and advisers was clear for decades. But in 1999, the Securities & Exchange Commission blurred that line. Now, to protect investors, the SEC must redraw a clear line. |
