Fiduciary Rule

Fiduciary advocates lament the absence of the term from the SEC's rule, which they say fails to move beyond FINRA’s existing suitability standard, while the brokerage sector sees the proposal as a welcome jump in oversight.

The move is an early indication of how firms may react to the demise of the Labor Department regulation.

The regulation was dealt a fatal blow when a federal appeals court hearing a challenge to the rule by business groups vacated it in a split decision.

LIMRA predicts annuity sales could gain 5% to 10% in 2018.

The CEO of Pershing Advisor Solutions sees an opportunity for RIAs in the potential restrictions on a term that has stoked criticism.

Wirehouses have made some recruiting mistakes in recent years. Meanwhile some aspects of corporate strategy are being done right in certain pockets of the industry. Danny Sarch offers his insight as we continue the dialogue from our Recruiters Roundtable.

The New York president questions legality of national chapter's use of local chapter funds for annual forum.

The industry research organization LIMRA sees reasons for optimism despite flat overall sales figures in the first quarter.

A pen and paper or more advanced methods of documentation can save financial advisors from a variety of troubles.

How can the industry find organic growth again? And where will the next generation of advisors come from? Bill Willis tackles both challenges, and discusses how they will affect compensation, as we elaborate on the issues discussed at our Recruiters Roundtable.

The ruling scuttles the state AGs' bid to win reconsideration of the DoL’s regulation.

What should advisors expect from the upcoming regulation?

With the federal government standing down, attorneys general from California, New York and Oregon make a late appeal to save the rule.

There are three top specialties that survey takers said they want when choosing a new financial planner, with one clear winner.

The brokerage sector and investor advocates are gearing up for a fight over broker provisions.

The no-nonsense CEO fields rapid-fire questions on everything from Amazon's interest in financial services to how the SEC is handling the fiduciary rule

NASAA President Joseph Borg also vowed to work with SEC Chairman Jay Clayton’s team on improvements to the Regulation Best Interest proposal.

The departure might slow SEC Chairman Jay Clayton’s progress on creating stricter standards of conduct for brokers and advisors.

With the rescue attempt's failure, all eyes now turn to the SEC which is considering its own proposal for raising financial advisor standards of conduct.

The firm is prioritizing its most productive advisors after shedding some 30% from its headcount.