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  1. Articles

    In Labor Department's fiduciary proposal, a nod to passive investing

    Brokers who sell index funds may get a leg up from newly proposed requirements that would impose more stringent advice standards.

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    Brokers get a mixed review on how they treat older investors

    More than a third of brokerage firms examined by Finra and the SEC made one or more potentially unsuitable recommendations of variable annuities to senior investors.

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    Expect tumult for broker-dealers if DOL fiduciary plan goes through

    Retirement plan experts predict a major shake-up in the way broker-dealers do business with small retirement plans and IRAs — all thanks to a prohibited transaction exemption in the Labor Department's new fiduciary duty proposal.

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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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    Labor Department proposes controversial fiduciary rule

    The Department of Labor, led by Secretary Thomas Perez, proposed a highly anticipated and controversial rule Tuesday that would require brokers working with retirement accounts to act in the best interest of clients.

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    Merrill seeks to be leader on fiduciary

    John Thiel's outspoken support of a best-interest standard and the Labor Department's effort puts pressure on peers. (See also: DOL proposes controversial fiduciary rule)

  5. Articles

    Regulation is only part of the solution

    Advisers should seek the highest level of professional competency, not for economic gain, but out of a sense of professional obligation to clients

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    What a Hillary Clinton presidency would mean for financial advisers

    With talk she'll announce her candidacy this weekend, questions arise about Ms. Clinton's take on fiduciary standards in advice, and what her tax policies and SEC budget would look like.

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    Fiduciary foes are spitting into the wind

    New regulations aside, megatrends will demand that advisers align themselves with clients.

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    Finra mulls new bonus disclosure rule

    The regulator is still doing research, but expects to move forward in the “short term,” said Susan Axelrod, executive vice president of regulatory operations.

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    SEC examinations chief to leave post at end of April

    Andrew Bowden, director of the Office of Compliance Inspections and Examinations, will be returning to the private sector.

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    BlackRock shrinks money market lineup, affecting $200B in assets

    Breakfast with Benjamin: The firm is closing or consolidating 20 money market funds with $200 billion in assets.

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    Tony Thompson barred from securities industry

    The regulator said he misrepresented $50 million private offering that later went into default

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    Who oversees wealth advisers who guide investors on 401(k)s? It depends.

    The financial services industry is trading plenty of barbs with regulators over fiduciary regulation, but a gray area could put advisers at risk: What about the adviser who guides wealth management clients on their 401(k)s?It's likely an everyday scenario for many advisers who give clients advice

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    Finra fines three firms for lapses on consolidated reports

    Processes must be in place to supervise the compilation of a client's entire financial life in one document.