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17 articles
The XPYN founder wants the SEC to honor its 'Merrill Lynch Rule' promise from 15 years ago, demanding the most fundamental truth in advertising.
The federal regulator did Wall Street's bidding and lost its compass, according to a damning Securities and Exchange Commission document.
Labor Secretary explains that flouting administrative rule is counterproductive but his comments to Wall Street Journal 'parrot' the brokerage lobby line, reassuring them that larger effort to kill the regulation is on track
Dodd-Frank kicked off a series of events that demanded a more rational way to define the sophistication of investors and who is best able to judge investments that don't have prospectuses
Lay fiduciary decision-makers have difficulty in discerning conflicts of interest.
As members of a consumer panel bitch creatively, fed up advisors dig deep for ideas that depend less on DC vicissitudes and more on RIA will and unity
A combined $133 billion AUM of advisors -- made up of 133 advisors -- made for rareified, if highly humid air in Palm Beach
Consumer Federation of America: Smaller firms would bear the brunt of costs and broker/advisor confusion may only increase under the contemplated bill
Maria Elena Lagomasino and Harold Evensky among those giving nod to Mississippi law students
As action moves to Congress, a flurry of meetings and Schwab's appearance
Funding may derail some grand plans, but regulations roll on (and so do tax threats)
Regulators' so-far soft approach on target date funds leaves door open for advisors to compete
In pressure cooker of Washington, D.C., nothing looks certain, especially after Tea Party wins
A conference of experts from academia, industry will examine how the fiduciary standard could work in a brokerage business
Brokers selling 401(k) plans may have another nail driven into their coffin
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