Legislation And Regulation

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  1. Articles

    Adviser running for Congress wants to protect Dodd-Frank reforms

    Candidate says clients and constituents, virtually unfazed by recent market turbulence, need a level playing field for financial advice.

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    Groups opposing DOL fiduciary rule step up lobbying spending

    Interest groups wanting to stop a Labor Department proposal that would change the rules for investment advice to retirement accounts have stepped up their lobbying expenditures.The Financial Services Institute, for instance, has spent $428,876 on lobbying during the first half of the year, compared

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    Broker groups step up political spending early in election cycle

    Groups representing brokers and investment firms have stepped up their political spending this year, while adviser advocates have slowed down their campaign contributions.The Securities Industry and Financial Markets Association, the major industry trade organization, contributed $261,198 to

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    Fidelity launches platform to connect plan sponsors, advisers and third-party fiduciaries

    Third-Party Fiduciary Services charges a 3 bps fee to enable retirement plans and advisers to outsource their fiduciary responsibilities.

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    Congressman calls for Finra oversight of investment advisers

    Rep. French Hill says the broker-dealer SRO is the best equipped regulator for the job.

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    Missouri Rep. Ann Wagner wages 'war' against DOL fiduciary

    Rep. Ann Wagner, a leading opponent of the agency's proposal to raise investment-advice standards for brokers working with retirement accounts is pursuing an aggressive strategy to stop the rule.

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    Brokerage industry lobbying dollars dwarf investment advisers'

    The brokerage industry's lobbying spending dwarfed advisers' in the first quarter, with the DOL fiduciary rule a primary focus.

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    Vanguard's new ambassador to advisers: We've earned your trust

    Thomas M. Rampulla's return to the U.S. comes after the firm recast itself as a patron of an industry that once saw it as a threat.

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    DOL fiduciary rule fails by only focusing on fees and expenses

    Fees and expenses matter, but in a procedurally prudent investment process, their management should account for less than 10% of a fiduciary's total efforts

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    Republican introduces bill to halt Obama's DOL fiduciary push

    Rep. Ann Wagner says proponents are 'offering a solution in search of a problem.'

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    House GOP tells SEC to improve adviser oversight

    House Republicans who oversee the SEC told the agency to do a better job of regulating investment advisers — and to do it without a significant budget increase.

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    Senator says advisers need more protection in reporting elder financial abuse

    Federal privacy laws should be clarified to protect financial advisers who tell authorities about suspected financial exploitation of the elderly, a Senate leader on senior issues said Wednesday.Sen. Susan Collins, R-Maine, chairwoman of the Senate Aging Committee, said giving safe harbor to

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    Karen Barr will build on David Tittsworth's legacy at the Investment Adviser Association

    With David Tittsworth departing the Investment Adviser Association, its new leader, Karen Barr, will have to turn elsewhere for entertainment for the organization's annual meeting. Over his 18 years as head of the IAA, Mr. Tittsworth, a pianist and singer, would give an after-dinner performance at

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    Tittsworth exits IAA after waging battles on behalf of investment advisers

    After 18 years, David Tittsworth is leaving the Investment Adviser Association, a group he led during a period of expanding regulation.

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    FSI to zero in on state advocacy this year

    Group set to launch lobbying days in Florida, Texas, New York and California.