Lisa Shidler

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

Lou Harvey: One of the ways to attack the reasonableness of the regulation is to allege that it is 'arbitrary and capricious,' which the complaint does repeatedly.

ERISA

DALBAR

Financial Services Institute

Pension Resource Institute

Lou Harvey

Dale Brown

Jason Roberts

Thomas Perez

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

Little credence is being afforded anti-DOL rule crowd that is trying to flip the script on who is screwing whom

Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

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Why SIFMA & Co.'s trip to a friendly North Texas court to upend the DOL rule looks more like its Alamo

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