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Tag "FINRA"

Exclusive Interview: Clark Blackman II Says SEC Fiduciary Fix “Not Tough Stuff”; Proposed DOL Fiduciary Rule a “Band-Aid”

    Exclusive Interview: Clark Blackman II Says SEC Fiduciary Fix “Not Tough Stuff”; Proposed DOL Fiduciary Rule a “Band-Aid”

“…if you are operating under the fiduciary standard… the future of regulation may dramatically change the very business model you have come to love; and the reasons you love it are the very same reasons it is under attack.”

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Exclusive Interview: Ron Rhoades Threatens to Oppose Any Weakening of Fiduciary Standard

    Exclusive Interview: Ron Rhoades Threatens to Oppose Any Weakening of Fiduciary Standard

Ron also says to “sunset” BICE, eliminate all conflicts-of-interest, and don’t trust FINRA.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 9/18/15

    FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 9/18/15

States Marching, Fees Leading, and What Does “Fiduciary” Matter, Anyway?

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 8/7/15

    FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 8/7/15

Retirement’s Oliver Hardy Moment, Kitces’ Catch-22, and media disses equities.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 7/24/15

The Great Government Retirement Grab, Fiduciary deadline ends (now the real show begins) and Fees – You can’t retire with them, you can’t retirement without them.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 5/29/15

Ruining retirement, Tibble squabbling, and income innuendo.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/24/14

DOL aims its sites, is the brokerage model going extinct? and the problems with bonds

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Compliance Headaches Coming for 401k Plan Sponsors Due to New Fiduciary Regs in 2014?

What might surprise you the most is how easily the industry will adapt to the new fiduciary guidelines.

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FiduciaryNews Trending Topics for ERISA Plan Sponsors: Week Ending 1/3/14

Looking ahead at the DOL and Did FINRA just Fold?

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