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Industry groups warn of creeping fiduciary obligations, while consumer advocates see it as a setback for investor protectionsAugust 7
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The announcement was welcomed by Wall Street lobbying groups, some of whom sued to vacate the Obama-era regulation.June 29
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FSI aims for a pragmatic approach when advocating on behalf of more than 90 independent broker-dealers and 30,000 financial advisors, Deputy General Counsel Robin Traxler says in an episode of the Financial Planning podcast.April 7
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When Congress killed tax deductions for financial advice in 2017, the world was a different place. Now planners want them restored to help clients during the coronavirus crisisApril 6
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Wealth management firms should track the lives they impact beyond the size of their client books, KMS Financial Services CEO Erinn Ford says in an episode of Financial Planning’s Podcast.March 17
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The IBD advocacy group expects no letup in enforcement by the regulator — with wide ramifications across wealth management hanging in the balance.January 28
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The custodial giant is aiming to cut down on the time involved with opening accounts — which advisors often view as a drain.January 27
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The IBD trade group launched a public campaign after more than 80 cases this year alleging inadequate disclosure of mutual fund fees and compensation.September 5
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Planners' fears of violating privacy stops them from taking action. If implemented, a new model act might help.September 4
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The insurgents won seats allotted to represent small and large firms.August 21
