With Washington causing quite a stir in proposing changes to the definition of fiduciary, the Virtual PLANADVISER National Conference brought together experts to discuss the realities of such a ...

The Securities and Exchange Commission would be expected to define a fiduciary standard that would be applied to brokers and investment advisers, according to draft legislation released this afternoon ...

As the two agencies release their regulatory agendas, the SEC is also proposing to revisit rules promulgated last year when the agency was headed by former chairman Jay Clayton. By Mark Schoeff Jr.

We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

On April 23, 2024, the Department of Labor published its long-awaited final retirement security rule broadening the definition of who is an “investment advice fiduciary” under section 3(21) of the ...

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We collaborate with the world's leading lawyers to deliver news tailored for you. Sign Up for any (or all) of our 25+ Newsletters. Some states have laws and ethical rules regarding solicitation and ...

W. Scott Simon is a principal at Prudent Investor Advisors, a registered investment advisory firm. He also provides services as a consultant and expert witness on fiduciary issues in litigation and ...

Would you intentionally advise clients to build their retirement savings plan on such a flimsy foundation that it could be targeted for a class-action lawsuit? Processing Content Of course not. But ...