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  1. Articles

    The three biggest fiduciary stories of 2015

    Plus, what to expect in 2016 from the SEC on a fiduciary rule and the Labor Department regarding a conflicts rule.

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    As robo-advice spreads, so should the caution warnings

    Breakfast with Benjamin: As robo-advisers flood the zone, investors (and human financial advisers) should continue to proceed with caution.

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    Republicans want to see cost-benefit analysis before SEC proceeds on fiduciary

    Today's hearing on 2016 budget discussed the DOL rule as well, with a lawmaker asking Chairwoman Mary Jo White, 'Why are you allowing the Labor Department to take over your territory?'

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    Nicholas Schorsch's RCAP gets scorched on multiple fronts

    Less than two years ago, Nicholas Schorsch compared RCS Capital Corp., the brokerage holding company he founded, to Merrill Lynch and Raymond James Financial Inc., two storied names in the securities industry.

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    Calpers makes another move away from pricey investments by trimming real estate exposure

    Breakfast with Benjamin: Nation's largest public pension fund trims its real estate holdings with a $3B sale.

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    SEC Chairwoman White says agency is 'full-out' working on fiduciary rule

    SEC chief says “if at the end of the day, you are depriving retail investors of reliable, reasonably priced advice, you will not have succeeded."

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    SEC warns advisers about outsourcing compliance

    Exams have shown that outside compliance officers sometimes are left in the dark about firms' business practices and cannot articulate their risks.

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    Jobs report has the bond market on edge

    Breakfast with Benjamin: The specific things to watch for in today's jobs report that could influence the Fed's decision on interest rates.

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    Ex-Ameriprise adviser gets 7 years in the slammer for bilking clients

    Breakfast with Benjamin: Susan Elizabeth Walker was sentenced to more than seven years in prison for taking over $1 million from clients' accounts.

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    Finra official says agency there to discipline, not punish

    Finra says it is more interested in supervisory lapses, suitability issues with complex products and selling away than big-money fraud.

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    Finra arbitration cases are down, but the rest of the year may tell another story

    A former Finra director says wild market gyrations over the summer will induce cases that could take months to fully reveal themselves.

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    Richard Ketchum, Finra chief executive, to retire

    The brokerage industry's chief regulator will step down in the second half of 2016 after a successor is found.

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    New bill aims to curtail elder financial abuse

    Measure would encourage advisers and financial institutions to report potential fraud, while protecting them from civil or administrative liability.

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    Cruz and Rubio come out on top after third Republican debate

    Breakfast with Benjamin: Another debate full of heated clashes — including with the moderators — but the candidates who rose to the top were not the usual suspects.

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    Budget deal would nix popular Social Security claiming strategies

    Loss of file and suspend and some spousal benefits could catch near-retirees off guard.