Yahoo News (April 23, 2024) - By Tara Siegel Bernard
New rules will require more investment professionals to act in their customers’ best interest when providing advice about their retirement money…
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New York Times (April 23, 2024) - By Tara Siegel Bernard
New rules will require more investment professionals to act in their customers’ best interest when providing advice about their retirement…
WealthManagement.com (April 10, 2024) - By Patrick Donachie
Nine former advisors are suing United Capital over its attempts to move arbitration proceedings from FINRA to another venue, accusing the…
AdvisorHub (March 27, 2024) By Miriam Rozen. Nine months after the Financial Industry Regulatory Authority began a process to publicly label firms as “restricted” if they or their brokers had a…
PLANSPONSOR (March 19, 2024) By Paul Mulholland
The proposal would add a private right of action and tighter conflict of interest rules.
Consumer advocates have argued that the Department of Labor…
Financial Advisor IQ (March 11, 2024) By Glenn Koch
The Expanding Access to Capital Act of 2023 broadens the definition of an “accredited investor” for the purpose of nonpublic offerings.
The House…
NASAA (February 27, 2024) - NASAA Releases 2023 Enforcement Report
State Securities Regulators See Rising Risks of Social Media Scams and Digital Asset Fraud
DOWNLOAD: NASAA 2023 Enforcement Report…
Better Markets (February 27, 2024) - WASHINGTON, D.C. – Members of the Save Our Retirement coalition, listed below, have sent a letter to congressional leadership opposing policy riders that would…
Insurance Newsnet (February 16, 2024) By John Hilton
A House committee revived debate over the Department of Labor fiduciary rule Thursday, leading to extended discussion over what the proposal does…
Law360 (February 15, 2024) By Kellie Mejdrich
Republican lawmakers blasted the U.S. Department of Labor's proposal to expand which investment advisers are subject to the Employee Retirement Income…