Judge Leaves Fate of Mass. Fiduciary Rule Unclear in Robinhood Case
By Melanie WaddellBut the judge allowed the state's case against the brokerage to proceed.
April 21, 2021
Rollovers, Revenue Sharing Could Be in Examiners' Sights: SEC's PeirceThe SEC commissioner discusses what advisors can expect from exams in terms of Reg BI compliance.
April 20, 2021
Consumer Group Presses SEC's Gensler to Define 'Best Interest'Spelling out this definition is the only way to ensure Reg BI has any teeth, consumer advocate Barbara Roper says.
April 13, 2021
DOL Releases Fiduciary Rule GuidanceThe department has released FAQs for investment professionals and investors.
February 12, 2021
Trump DOL Fiduciary Rule to Take Effect TuesdayLater this year, the department will likely "begin work on a more robust fiduciary definition," said ERISA attorney Fred Reish.
September 24, 2019
Have Fiduciary Standards Been 'Watered Down'? SEC's Clayton, Jackson Go Toe to ToeThe SEC chairman and the Democratic commissioner testified to Congress about the new advice-standards rules.
July 10, 2019
Is There Magic in the Term 'Fiduciary'?Two SEC officials, including Investment Management Director Dalia Blass, have differing opinions on this question.
June 27, 2019
A Timeline of the Contentious Fiduciary RulesThe SEC's Regulation Best Interest was born out of a years-long struggle to regulate brokers as fiduciaries.