FSI

Dear SEC, No one wants to read 4-page disclosures

Disparate voices in the fiduciary debate agree that Form CRS might be too dense and complex to achieve meaningful disclosure.

Fee disclosures Kenneth Corbin June 19

Fee disclosures Kenneth Corbin June 19
Last-minute bid to save fiduciary rule fails

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.

Fiduciary Rule Andrew Welsch May 2

Fiduciary Rule Andrew Welsch May 2
SIFMA, FSI and allies seek to block rehearing of DoL fiduciary rule

Leading trade groups counter a request from AARP and three states for fiduciary rehearing, in hopes that the circuit court's rejection will be the last word on the regulation.

Fiduciary Rule Kenneth Corbin May 1

Fiduciary Rule Kenneth Corbin May 1
Fiduciary rule, RIP? Fate looks dim after court overturns regulation

Focus turns to the SEC as it considers creating its own higher standard of client care.

Fiduciary Rule Andrew Welsch March 15

Fiduciary Rule Andrew Welsch March 15
New FINRA arbitration award data may help solve longstanding problem

Investor advocates laud regulator's newest steps to address the longstanding problem.

Financial regulations Ann Marsh February 9

Financial regulations Ann Marsh February 9
Cetera adds nearly 800 advisors as CEO warns industry of hiring gap

Robert Moore’s view sets him apart from other executives who argue that new talent will replace low producers.

Recruiting Tobias Salinger February 7

Recruiting Tobias Salinger February 7
Fiduciary rules mushrooming, CEOs urge colleagues to get political

Industry leaders see an opportunity to reshape debates that determine wealth management's future.

Fiduciary Rule Andrew Welsch January 31

Fiduciary Rule Andrew Welsch January 31
Fiduciary delay to prolong already lengthy debate

The regulation's enforcement provisions will not take effect until July 1, 2019, the Labor Department said.

Fiduciary Rule Andrew Welsch November 27, 2017

Fiduciary Rule Andrew Welsch November 27, 2017
DoL sets fiduciary rule delay in motion

The department's proposal furthers efforts to undo the controversial regulation.

Fiduciary Rule Andrew Welsch November 2, 2017

Fiduciary Rule Andrew Welsch November 2, 2017
SEC warns of potential for industry fragility and interconnectedness: News Scan

Assets in products susceptible to the risk of fire sales during a future shock are up 673% since 2000.

Mutual funds Sarah Martinson June 26, 2017

Mutual funds Sarah Martinson June 26, 2017

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