In the Media

AdvisorHub (March 27, 2024) By Miriam Rozen.  Nine months after the Financial Industry Regulatory Authority began a process to publicly label firms as “restricted” if they or their brokers had a…
PLANSPONSOR (March 19, 2024) By Paul Mulholland  The proposal would add a private right of action and tighter conflict of interest rules. Consumer advocates have argued that the Department of Labor…
Financial Advisor IQ (March 11, 2024) By Glenn Koch The Expanding Access to Capital Act of 2023 broadens the definition of an “accredited investor” for the purpose of nonpublic offerings. The House…
NASAA (February 27, 2024) - NASAA Releases 2023 Enforcement Report State Securities Regulators See Rising Risks of Social Media Scams and Digital Asset Fraud DOWNLOAD: NASAA 2023 Enforcement Report…
Better Markets (February 27, 2024) - WASHINGTON, D.C. – Members of the Save Our Retirement coalition, listed below, have sent a letter to congressional leadership opposing policy riders that would…
Insurance Newsnet (February 16, 2024) By John Hilton A House committee revived debate over the Department of Labor fiduciary rule Thursday, leading to extended discussion over what the proposal does…
Law360 (February 15, 2024) By Kellie Mejdrich Republican lawmakers blasted the U.S. Department of Labor's proposal to expand which investment advisers are subject to the Employee Retirement Income…
Think Advisor (February 15, 2024) By Allison Bell igns that a bipartisan compromise on retirement asset rollover rules might be possible showed up Thursday during a House hearing on the U.S.…
PlanSponsor (February 15, 2024) By Paul Mulholland The House of Representatives hosted a second hearing on the retirement security proposal, during which witnesses disagreed on the adequacy of…
PlanAdvisor (February 15, 2024) By Paul Mulholland Witnesses called to testify at a House hearing disputed whether small balances would still be served under the retirement security proposal and…