Financial Planning (May 16, 2024) - By Dan Shaw
It has been nearly five years since the SEC's adoption of Regulation Best Interest and four since the conduct standard started being enforced.
What…
PIABA Newsroom
In the Media
MarketWatch (May 1, 2024) - By Alisa Wolfson
Question: I’m 86 years old and have $250,000 in my account and $1 million in investments. But I get nothing from my 401(k) as my account is locked and I…
Financial Planning (May 1, 2024) - By Dan Shaw
For nearly half a year advisors have been living under new FINRA rules that make it harder to scrub erroneous customer complaints from their online…
FinancialPlanning (April 25, 2024) - By Tobias Salinger
Supporters and opponents began weighing in with their reactions about a minute or so after the Labor Department issued the final version of…
Think Advisor (April 25, 2024) - By Allison Bell
Seth Friedman, who once distributed annuities himself, is wondering how the Labor Department’s new final retirement investment fiduciary definition…
Investment Executive (April 24, 2024) - By James Langton
Labor Department finalizes fiduciary rule for retirement advice
The U.S. Department of Labor (DOL) has finalized a controversial rule…
AdvisorHub (April 23, 2024) - By Miriam Rozen
The U.S. Department of Labor on Tuesday said it has finalized a fiduciary rule governing retirement accounts that will close loopholes and widen the…
Yahoo News (April 23, 2024) - By Tara Siegel Bernard
New rules will require more investment professionals to act in their customers’ best interest when providing advice about their retirement money…
New York Times (April 23, 2024) - By Tara Siegel Bernard
New rules will require more investment professionals to act in their customers’ best interest when providing advice about their retirement…
WealthManagement.com (April 10, 2024) - By Patrick Donachie
Nine former advisors are suing United Capital over its attempts to move arbitration proceedings from FINRA to another venue, accusing the…