FSI

The brokerage industry’s watchdog would also want to play an active role in the design of a possible SEC fiduciary regulation, Robert Cook says.

Will Chief District Judge Barbara Lynn be the first to rule against the regulation? Opponents of a case in Texas federal court have high hopes.

After being jilted by the nation’s largest IBD, the organization breaks new ground with membership additions.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

A federal court in Texas, which has sided against the DoL in recent cases, is scheduled to hear arguments later this year on whether department overstepped its bounds with new rule.

Legislation passed by the House offers advisers protection against liability.

It’s time for professional planners, as opposed to sales agents, to define themselves accurately in the public mind. To do it, you need to use key words and phrases with crystal clarity.

The U.S. Chamber of Commerce, SIFMA, FSI and other groups are asking a Texas court to vacate the Labor Department's new regulations less than a year before the rule goes into effect.