Passage of the CHOICE Act by the House Financial Services Committee could signal a further blow to conflict of interest regulations adopted by the Obama administration.
As a new leader takes the helm at the SEC, advisers wonder whether the regulator’s recent focus on retirement industry conflicts of interest will be relaxed.
The Insured Retirement Institute will spend the year pushing Congress and the Administration to advocate for legislation that would expand Americans’ access to advice and simpler annuities.
Whoever takes on the role of DOL Secretary will be tasked with overseeing the Trump administration’s response to the forthcoming fiduciary rule reforms.
A new publication from the SEC outlines the five most frequent compliance topics identified in deficiency letters sent to SEC-registered investment advisers.
Among the topline priorities for the Securities and Exchange Commission’s examination staff during 2017 will be “the services provided by public pension advisers” and an “expanding focus on...
Since the DOL conflict of interest rule’s publication, mutual fund providers and their adviser-intermediaries have also been asking the SEC extensive questions about sales loads, fee schedules, etc.
Robo-advisers gained some traction in the DC industry this year, and many have come to see how the technology could work with, rather than against, traditional advisers.
The SEC recently weighed in on whether offering a brokerage window in a 401(k) through which investments in employer securities can be made involves an offer of employer...
The Securities and Exchange Commission is proposing a new rule and rule amendments under the Investment Advisers Act of 1940 aimed at bolstering advisory industry succession planning.