Person Root Tag

Public perception, the laboriousness of the rule-making process and other factors have acted as roadblocks to wholesale repealing the regulation.

Advocates call for the commission to address investor confusion.

Chairman Jay Clayton and OCIE's director provided advisors with hints on the regulator’s methods.

Attorneys are preparing written objections to the settlement, which they may file in the next 15 to 30 days.

Giving securities that have appreciated in value allows investors to claim a deduction and avoid capital gains taxes if they opt to sell the shares.

As prospects for the best interest contract exemption fade, the Labor Department is pursuing a "streamlined" exemption for conflict-free mutual fund shares.

David Bahnsen told the president that that Milken’s prosecution was a result of “a period of class envy run amok.”

The real concern is not just that actively managed funds could disappear but that the entire market could be left for dead.

As fee cuts have become key to winning flows, managers turn to cheaper indexers, while some build in-house benchmarking teams.

It’s tempting to skip that weekly gathering, but advisory firms may be losing efficiencies if they let them slide, Michael Kitces writes.

The nation’s largest broker-dealer must convince thousands of NPH advisors to make the transition.

The nation’s largest IBD paid $325 million, but it may spend as much as $508 million in the deal.

The department is asking the Office of Management and Budget to postpone the compliance date for 18 months for the best interest contract exemption and other aspects of the rule.

Many firms are finding new ways to incorporate computer models and data science into their research.

Advisers have turned into the new active investment managers.

Dan Arnold says behavioral management, automation and portfolio and planning services need to be combined to win future clients.

CEO Dan Arnold said advisers’ uncertainty about the fiduciary rule is waning.

Investors pulled $2.1 billion from domestic mutual funds and ETFs in the week ending July 12.

The right strategy can save clients thousands of dollars, although the options are complicated.