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The move brings wealth building and retirement planning advice to a large, underserved population of new clients.
July 1 -
“It will dramatically expand the number of advisors who will be fiduciaries under ERISA,” says one expert.
June 16 -
The department says it is working “to determine how we might improve” the regulation.
February 12 -
In the new Form CRS, firms must justify whether they place client assets in advisory or broker accounts.
February 4 -
Consumer advocates are calling for Gary Gensler to toss out Reg BI as wealth managers aim to keep the prior administration’s rule in place.
February 3 -
The state’s securities regulator claims the popular app uses “gamification” to manipulate customers and fails to prevent frequent outages on its trading platform, among other misconduct.
December 16 -
The regulation permits more exemptions from fiduciary duties, but may itself be replaced by the incoming Biden administration.
December 16 -
A recent study suggests sales of "expensive" VAs fell as a result of the vacated rule. But there are other factors at play, writes Raymond James' Scott Stolz.
October 16Raymond James Insurance Group -
Insiders see a Democratic administration backing tightened investor protections as industry advocates look to tax legislation.
October 8 -
Expenses fell by 20 basis points and risk-adjusted returns climbed 92 bps, according to the study.
September 24