Regulation and compliance
Regulation
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The move is additional fallout from the president's memo to the Department of Labor to review the regulation and possibly rescind it.
February 8 -
"We believe they have made our overall platform more competitive," said a top executive in the LPL division that supports banks and credit unions.
February 8 -
Some firms reserve comment on the president's order, despite public support for the fiduciary rule in the past.
February 8 -
Rule supporters say they intend to continue making their case on Capitol Hill.
February 8 -
Firms must ensure that best interest practices are part and parcel of every investment deal.
February 8 -
After investing millions in new platforms and preparing thousands of advisers, executives say they've come too far to reverse course.
February 7 -
The aggregator has clicked with an expansion-minded RIA seeking to grow its footprint and 401(k) business.
February 7 -
FINRA chided the rep for following through on trading instructions received via email from bank employees without confirming the transactions with the customers.
February 7 -
Sobering results from a light-hearted survey prompts columnist Bob Veres to change his tune about how advisers use "retainer."
February 7 -
Following a year of slowed deal activity, a PwC report addresses the added challenges managers face amid the developing economic, tax and regulatory agenda of the new administration.
February 7 -
Digital advice firms will continue to market themselves as white knights in the financial services industry, observers say.
February 6 -
Here’s what the president’s actions mean for advisers and firms.
February 6 -
The final version of the memorandum that President Trump signed did not actually include a provision to hold up the regulation. It's still game on.
February 5 -
"Just the talk about the rule has been free advertising for planners committed to prioritizing their client's needs over juicing their own compensation," says one leading fiduciary planner.
February 4 -
The firm says it could delay changes it pledged to make to comply.
February 3 -
"My expectation is that a lot of firms are going to continue installing a best-interest standard, regardless," said Brian Graff, CEO of the American Retirement Association.
February 3 -
Advisers reacted to President Trump's efforts to halt the regulation.
February 3 -
President Trump’s order sparked reactions all over his preferred social media platform.
February 3 -
While a review will be undertaken by the Labor Department, the White House signaled that the president was expecting significant change.
February 3 -
CEO Jim Cracchiolo said the firm's efforts won't go to waste should the rule be overturned.
February 2















