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In the Media
Think Advisor (April 25, 2024) - By Allison Bell
Seth Friedman, who once distributed annuities himself, is wondering how the Labor Department’s new final retirement investment fiduciary definition…
Investment Executive (April 24, 2024) - By James Langton
Labor Department finalizes fiduciary rule for retirement advice
The U.S. Department of Labor (DOL) has finalized a controversial rule…
AdvisorHub (April 23, 2024) - By Miriam Rozen
The U.S. Department of Labor on Tuesday said it has finalized a fiduciary rule governing retirement accounts that will close loopholes and widen the…
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…
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…