March 16, 2022
Get Ready for New DOL Rollover Rules on July 1Starting on this date, specific reasons for each rollover recommendation must be put in writing.
February 16, 2022
DOL Fiduciary Rule Supporters Flock to Capitol Hill to Brief LawmakersStaffers on Capitol Hill have been getting questions ahead of the proposal's expected release, Maureen Thompson of the CFP Board says.
February 03, 2022
Annuity Group Sues DOL Over Fiduciary RuleFACC says the department has tried to put a major rule change in an introduction.
December 28, 2021
What's Next for Build Back Better, Form CRS and the New Fiduciary Rule?Greg Valliere, Ron Rhoades and Fred Reish weigh in on what lies ahead for new laws and rules coming out of Washington in 2022.
November 29, 2021
Biden's Pick for Key DOL Post Is Up for Vote; Fiduciary Rule Delay ExpectedA former EBSA head says Labor won't meet its December deadline to release a new fiduciary rule.
October 07, 2021
Defining Who Is a Fiduciary Is Central to ERISA, Biden's DOL Pick SaysLisa Gomez, tapped to lead EBSA, told senators she looks forward to "taking another look at the conflict of interest rule."
August 26, 2021
Rhoades, Borzi: What to Expect From Consumer Advocate Roper at the SECRon Rhoades, Phyllis Borzi and others in the regulatory world discuss how Roper could shape issues like Reg BI and 12b-1 fees.
August 19, 2021
SEC Fines Robo-Advisor SoFi Wealth Over ETF ConflictsThe firm left some clients with taxable gains as it moved them into proprietary funds, the SEC said.
July 15, 2021
Trendspotter: Advisor Fee Structures Are ShiftingAdvisors have become more likely to offer fixed fees and hourly fees in addition to asset-based fees. Here's why.
June 14, 2021
SEC Plans More Changes to Accredited Investor DefinitionRules around money market funds, ESG, gamification, a shortened settlement cycle and advisor custody are also on the SECs agenda.