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Investment Advisor
October 2008
Melanie Waddell
DOL Floats Advice Proposals The Department of Labor recently announced two proposed rules under the Pension Protection Act designed to make investment advice more accessible for millions of Americans in 401(k)-type plans and individual retirement accounts. mark for My Articles similar articles
Registered Rep.
April 1, 2013
Diana Britton
The New Face of The Fiduciary Just when the industry thought it didn't have to worry about the DOL, the agency has made it clear that its fiduciary standard is imminent. For registered reps and RIAs alike, it could change the game. mark for My Articles similar articles
Investment Advisor
July 2010
Melanie Waddell
Retirement Planning: Discord With DOL Squabbing over proposed final 401(k) advice rules. mark for My Articles similar articles
Investment Advisor
September 2007
Melanie Waddell
Failure to Compute? The Department of Labor is set to tell Congress by year-end if computer models are suitable for IRAs. mark for My Articles similar articles
Investment Advisor
April 2008
Melanie Waddell
Getting a Handle on 408(b)(2) The new Department of Labor rule will prove more onerous for Broker/Dealers than for Registered Independent Advisors. mark for My Articles similar articles
Investment Advisor
April 2009
Melanie Waddell
Retirement Planning: Advice Rule Revisited Changes are in store to the Department of Labor's investment advice regulation, and its implementation is delayed. mark for My Articles similar articles
Registered Rep.
March 2, 2010
John Aidan Byrne
New Rules For 401k Advice The White House has proposed rules that require advisors to either use independent computer models that spit out advice, or else avoid steering workers into funds to which they are tied or that pay them a fee based on their recommendation. mark for My Articles similar articles
Investment Advisor
September 2008
Melanie Waddell
Disclosure Time The timeline of the Department of Labor's proposed rule on 401(k) plan fee disclosure seems too aggressive. mark for My Articles similar articles
Registered Rep.
April 17, 2015
Megan Leonhardt
DOL Moves Industry Closer to Harmonization The Department of Labor's proposal may represent the first step in a harmonized fiduciary standard by maintaining flexibility of business models. mark for My Articles similar articles
On Wall Street
March 1, 2010
Bo Bohanan
Do You Really Want To Be A 401(k) Consultant? It is fairly easy to spot the advantages and opportunities of working in this marketplace. But, not all of the pitfalls are as evident. mark for My Articles similar articles
Investment Advisor
December 2009
Walking the Fiduciary Line on Retirement Retirement plans and their participants may need to use separate advisors who are separate fiduciaries, devoid of the potential for conflicts. mark for My Articles similar articles
On Wall Street
April 1, 2010
Trone & Harvey
Are The Retirement Waters Now Murkier? A 40-page document of new regulations from the Department of Labor sets out to ease the challenges of offering investment advice to retirement plan participants and to lessen any conflicts of interest. mark for My Articles similar articles
Registered Rep.
January 16, 2013
Diana Britton
DOL's Fiduciary Proposal Presents Renewed Threat to Securities Industry SIFMA expects a DOL fiduciary proposal in the second quarter of this year, renewing the industry's concern over the possible legislation, which the organization says is contrary to the SEC's. mark for My Articles similar articles
Registered Rep.
January 23, 2015
Megan Leonhardt
SIFMA Questions The Numbers in White House Research on Broker Conflicts Investors could be losing 10 to 15 percent of their potential retirement savings because of conflicted advice from brokers, according to a memo written by White House economic advisors that could galvanize presidential support for new rules governing advisors of ERISA accounts. mark for My Articles similar articles
Investment Advisor
January 2008
Melanie Waddell
DOL Issues Fee Disclosure Regs The Department of Labor introduced its proposed rules on enhancing the disclosures regarding fees that fiduciaries of employee benefits plans receive. mark for My Articles similar articles
Investment Advisor
March 2007
Melanie Waddell
Leading the Way This year is shaping up into one in which advisors will have to stay compliant with a plethora of retirement planning rules and regs if they expect to stay firmly rooted in the retirement planning arena -- and doing what's best for their clients. mark for My Articles similar articles
Financial Advisor
December 2009
Mary Rowland
Rough Road The rules on providing investment advice to 401(k) plan participants have been shifting, and the end of the controversy is not in sight. mark for My Articles similar articles
Investment Advisor
December 2009
Melanie Waddell
Retirement News DOL testimony on fiduciaries... Claims against advisors... Research on roller coaster redemptions... mark for My Articles similar articles
Registered Rep.
September 19, 2011
Kristen French
Breaking: DOL Will Repropose Its Fiduciary Rule The Department of Labor announced Monday that it would again propose its rule on the application of the fiduciary standard to retirement accounts. mark for My Articles similar articles
Investment Advisor
May 2007
The Original SEC Rule The Security and Exchange Commission's original decision on the broker/dealer exemption rule exempting brokers from regulation as an investment advisor even when they were being paid fees for investment advice. mark for My Articles similar articles
Financial Planning
December 1, 2010
Trone & Harvey
Get Smart When the U.S. Department of Labor speaks, we should listen, whether we work with qualified retirement plans or not. The DOL made several announcements in October that are going to be significant game changers for the financial services industry. mark for My Articles similar articles
Registered Rep.
October 1, 2002
David A. Geracioti
Outgrowing the Series 7? Registered investment advisors must take the Series 65 exam. As the line between brokers and financial advisors blurs, what responsibilities do brokers that dispense advice and collect a fee based on assets have? mark for My Articles similar articles
Registered Rep.
October 22, 2002
Rick Weinberg
Merrill to Reps: Go Get 401(k) Business Merrill Lynch advisors are now going to offer participants in Merrill-run retirement plans specific buy and sell recommendations. Indeed, participants may elect to turn over all investment decisions to Merrill advisors. mark for My Articles similar articles
Registered Rep.
December 1, 2004
John Churchill
If You're a Broker and You Know It As the holiday season approaches, the SEC is getting daily entreaties from registered investment advisors seeking an end to the broker/dealer exemption rule. mark for My Articles similar articles
Investment Advisor
October 2006
Melanie Waddell
Catching up with... An interview with Tom Grzymala, a former RIA and Accredited Investment Fiduciary Auditor about ensuring those advisors who proffer advice are living up to fiduciary standards. mark for My Articles similar articles
Financial Advisor
May 2007
Ken Ziesenheim
Diamonds In The Rough The new Pension Protection Act offers opportunities for financial advisors, if you know where to dig. mark for My Articles similar articles
Investment Advisor
March 2007
Saxon & Breyfogle
DOL Issues Favorable New Guidance on PPA "Investment Advice" Provisions The Department of Labor's Field Assistance Bulletin resolves some of the uncertainties created by the PPA and creates a new option for service providers that wish to provide investment advice without fee offsets or reliance on computer models. mark for My Articles similar articles
Registered Rep.
July 8, 2010
Michael Stillman
For 401k Advisors, Comp Models Must Change In the short-term, financial advisors will need to adjust their 401(k) fee arrangements. For the long-term, registered reps may find it necessary to work with -- or become -- registered investment advisors. mark for My Articles similar articles
Investment Advisor
May 2007
That's Not How I Read PPA Letters to the editor: DOL Requires More Due Diligence for 401(k) Advisors... You say adviser, we say advisor... Corrections... mark for My Articles similar articles
Registered Rep.
July 24, 2012
Jerry Gleeson
Fee Disclosure - Can You Handle the Truth? New federal rules are forcing advisors to spell out what they're charging for running 401(k) plans and what their clients are getting for the money. It could lead to some difficult conversations. mark for My Articles similar articles
Registered Rep.
December 1, 2006
Halah Touryalai
Department of Labor to Brokers: No Overtime Pay for You Here is a new twist in the broker overtime pay lawsuits: The Department of Labor (DOL) says brokers are not entitled to overtime pay after all. Well, that is, unless the DOL is wrong, which it allowed could be the case. (No kidding.) mark for My Articles similar articles
Financial Planning
November 1, 2010
Trone & Harvey
The New Rules of the Road The following four regulatory reforms will likely have the most impact on the financial services industry over the next 24 months. Here's a short synopsis of what they will require. mark for My Articles similar articles
Registered Rep.
October 1, 2006
John Churchill
Deciphering the Rules of Retirement Advice Title VI of the the Pension Protection Act, far from being a clear-cut signal for reps to dive into the retirement advice business, does, however, open the door wider to advice giving. mark for My Articles similar articles
Registered Rep.
February 28, 2012
Diana Britton
Yield of Dreams: FSI to DOL -You're on Your Own Last September, the Department of Labor announced it would repropose its rule on the application of the fiduciary standard to retirement accounts. This was a major coup for the Financial Services Institute, which has been vehemently opposed to the rule. mark for My Articles similar articles
Investment Advisor
June 2, 2011
Melanie Waddell
DOL's Rule 408(b)(2) Saga Continues: Further Compliance Extension Likely Final 408(b)(2) has yet to surface; former EBSA head Campbell says that officials will ask for compliance extension. mark for My Articles similar articles
Investment Advisor
July 2009
Melanie Waddell
Regulatory Reform Angst It's clear that advisors are worried about the impact of regulatory reform measures. mark for My Articles similar articles
Financial Advisor
December 2008
Janet Aschkenasy
Who Discloses What? New regulations clarify the duties of qualified retirement plan fiduciaries and advisors. mark for My Articles similar articles
Financial Advisor
May 2006
Andrew Gluck
New Rule Causes Software Schizophrenia New financial software programs for advisors reflect the difference between fiduciary and suitability requirements. mark for My Articles similar articles
Financial Advisor
July 2009
Sherri Scordo
Compliance Concerns There's a lot of buzz these days about potential changes in compliance rules and the impact on advisors. mark for My Articles similar articles
Registered Rep.
November 3, 2004
Broker or Advisor---Who Knows the Difference? More than half of American investors look to brokers for more than just transactional assistance, according to new research, which also finds that investors don't understand the differences between brokers and registered investment advisors. mark for My Articles similar articles
Investment Advisor
April 2008
Melanie Waddell
401(k) Participants Can Sue Advisors should take heed, as a high court rules in favor of 401(k) participants; will a torrent of similar lawsuits ensue? mark for My Articles similar articles
The Motley Fool
May 20, 2004
Tim Beyers
American Express Unit in Scandal The broker could be a target of a regulatory inquiry into mutual funds revenue-sharing. How can you tell if your own broker or advisor has a conflict of interest? mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
Piling On Keeping up with compliance chores will continue to occupy a substantial portion of advisors' time, as industry officials and observers are steadfast in their belief that regulatory scrutiny by the SEC and NASD isn't going away. mark for My Articles similar articles
On Wall Street
December 1, 2009
Mark Astarita
Brokers as Fiduciaries -- Much Ado About Nothing There is a battle cry to place a fiduciary obligation on retail brokers. But the real question is: What difference will it really make? mark for My Articles similar articles
Financial Planning
September 1, 2008
Callahan & Malo
Hybrid Chic A trend toward hybrids in the financial services industry is emerging. Increasingly, firms, advisors and brokers are establishing practices that manage both commission -- and fee-based businesses. mark for My Articles similar articles
Registered Rep.
January 3, 2008
Christina Mucciolo
SEC's RAND Study Released The SEC release the results of the RAND study, which examined how broker/dealers and investment advisors market products and services to investors, and how investors understand the differences between investment advisors and broker/dealers. mark for My Articles similar articles
Financial Advisor
March 2011
Jeff Schlegel
Is Uniformity Possible? Broker-dealers expect some changes if a new fiduciary standard is adopted. mark for My Articles similar articles
Investment Advisor
July 2008
News & Products, July 2008 Department of labor will continue to scrutinize the indirect compensation that advisors acting as pension consultants receive... The number individuals participating in HSA-eligible high-deductible health plans jumped significantly since 2004... etc. mark for My Articles similar articles
Financial Advisor
November 2012
Karen DeMasters
DOL Fiduciary Regulations May Be Revived U.S. Department of Labor regulations that would extend the fiduciary standard to a larger group of people advising on retirement plans are on hold for now, but they may not be dead, according to those following the fate of the proposals. mark for My Articles similar articles
Investment Advisor
March 2006
Melanie Waddell
The Playing Field: Here, There and Everywhere Dually registered advisors (advisors who are registered with both the SEC and the NASD, and are collecting both fees and commissions) have the best -- and worst -- of both worlds. However, a new study shows when implemented properly, the hybrid model can be very profitable. mark for My Articles similar articles