Schwab Announces 'National RIA Day' for 2027
By Dinah Wisenberg BrinThe day will be recognized on the National Day Calendar and take place on the third Wednesday in February.
August 04, 2026
New Bill Kills DOL Oversight of IRAsThe SMART Savings Act would prevent Labor from resurrecting a fiduciary rule.
March 25, 2026
Court Refuses to Vacate $133M Arbitration Award Against StifelThe FINRA award was tied to former financial advisor Chuck Roberts.
March 18, 2026
DOL Won't Float a New Fiduciary RuleLabor said it has restored ERISA's five-part test for determining who is an investment advice fiduciary.
February 02, 2026
Do CFPs Really Need a Bachelor's Degree?The CFP Board's announcement that it would review the requirement has sparked debate. Planner Jeff Levine has "mixed feelings."
November 25, 2025
Trump DOL to Abandon Fiduciary Rule DefenseThe department is expected to propose a new fiduciary rule in May 2026.
November 19, 2025
Fidelity, Centene Sued Over Alleged Excessive 401(k) Fees, Misuse of Forfeited AssetsFidelity's recordkeeping services to the Centene plan created a conflict of interest, according to the complaint.
October 08, 2025
Salesforce Breach Exposes Risk for Wealth Firms; Here Are 6 Steps to Take NowThe recent leak of 1 billion records should prompt renewed assessments of client data safety defenses.