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Fiduciary rule and independent contractor guidelines before DOL

A new potential fiduciary rule and a court decision involving independent contractors have the industry and consumer advocates watching carefully.

United statesMorgan stanleyMarcia croneMayura hooperCatherine ruckelshausEd forstJoseph bidenAlex davidChristine lazaroDavid bellaireSeema nandaDale brownAli khawarMicah hauptmanMarty walshPhyllis borzi

FSI Decries PRO Act Push in Biden s State of the Union

The FSI criticized the PRO Act's potential impact on the independent contractor status of advisors after it was mentioned in Pres. Biden's State of the Union.

United statesCapitol hillDistrict of columbiaDale brownDavid bellaireMarty walshJoe bidenFinancial services instituteUs senateWashington postCongress onDepartment of laborPresident joe bidenPresident dale brownFair labor standards actLabor secretary marty walsh

SEC s Reg BI hasn t made many changes, state regulators warn

Wealth managers operating as broker-dealers are still offering the same “complex, costly and risky” products without enough disclosure, NASAA’s report found.

United statesMelanie senter lubinDavid bellaireSenter lubinGary genslerKenneth bentsenAndrea seidtMichael edmistonReg bi implementation committeeFinancial services institutePublic investors advocate bar associationAmerican securities administrators associationFinancial markets associationBest interestChair gary genslerCommittee chair andrea seidt

RIA Leaders 2021: What s wrong with RIA rankings

RIA Leaders 2021: What s wrong with RIA rankings
financial-planning.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from financial-planning.com Daily Mail and Mail on Sunday newspapers.

Knut rostadManish khattaMeredith richardRaymond jamesRachel robasciottiMichael kitcesPeter malloukBrian holmesEaton vance wateroakDavid bellaireCarolyn mcclanahanLarry gingrowEdward jonesMorgan stanleyPotomac fund managementFinancial services institute

Advice industry diverges on lawmakers that voted to overturn election

Advice industry diverges on lawmakers that voted to overturn election
investmentnews.com - get the latest breaking news, showbiz & celebrity photos, sport news & rumours, viral videos and top stories from investmentnews.com Daily Mail and Mail on Sunday newspapers.

United statesUnited kingdomCapitol hillDistrict of columbiaJack dolanDavid bellaireJackie walorskiGarrett hawkinsNeil simonJoe bidenDan zielinskiPolitical action committeeSenate minority leader mitch mcconnellFinancial services instituteHouse financial services committeeInvestment adviser association