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Possible threats to the pending proposal could play out in Congress and the courts before an increasingly consequential presidential race, an expert said.
January 31 -
A potential regulation called the "retirement security rule" is already facing pushback. Here are the first reactions across the industry in favor and against it.
October 31 -
Consumer advocates cheered the outcome of the case and the regulator's enforcement push in recent years. Commonwealth's case is still pending.
November 2 -
Securian's alleged tactics with departing managing partners highlight a troubling trend among firms claiming to offer flexibility and freedom.
October 28 -
The word 'broker' carries negative connotations. But to many wealth management professionals, commission-based shops are valuable to a transforming industry.
August 21 -
A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.
March 30 -
Inroads CEO Forest Harper and other organizers of new internship and training programs insist a long-term shift is now possible.
March 10 -
SEC enforcement actions and regulatory requirements citing Form CRS suggests that firms need to step up their compliance operations.
July 28 -
In a session at the industry trade group’s conference, planner Lazetta Rainey Braxton connected racial and financial literacy.
July 27 -
The trade group’s continued support comes with caveats as advocates for a stronger rule express hope that the Biden administration will change the 2019 regulation.
July 27