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NEWS
On Tuesday, the American Federation of Teachers (AFT) asked the trustees of its pension funds to review its stock holdings and try to push fund managers to either shed investments in gun-makers and sellers or offer funds that have alternatives to firearms-makers.  [4/20/2018]
Making senior employees directly accountable for their actions is one of the options in a new “tool kit” to combat the misconduct that has damaged public trust in financial services.  [4/20/2018]
Big Silicon Valley backers of cryptocurrencies have sought a broad exemption from federal oversight they say would slow digital coin growth.  [4/20/2018]
International standard-setters need to work together to form a clear consensus on the definition of crypto-assets and their potential role in the financial system, according to a report released by the International Monetary Fund (IMF).  [4/20/2018]
Ron Carson, founder and CEO of the Carson Group, called the SEC's proposal a step in the right direction, but that it needs to go further and require everyone to act as a fiduciary.  [4/20/2018]
Massachusetts Securities Regulator William Galvin stated that the SEC rule “appears to be drafted to appease the broker-dealer industry and their lobbyists, protecting the industry’s best interests instead of the best interests of investors.”  [4/20/2018]
The Insured Retirement Institute (IRI) thinks overall sales of annuities may have increased 0.3 percent between the fourth quarter of 2016 and the fourth quarter of 2017, to $48.4 billion.  [4/18/2018]
Retirement plan advisors are increasingly being drawn into 401(k) lawsuits, as litigation creeps down market and plaintiffs' lawyers test out new legal theories to ensnare advisors.  [4/18/2018]
The SEC has unveiled a public service announcement to encourage investors to check the background of their investment professional by using the free search tool on Investor.gov before investing.  [4/18/2018]
The SEC on Wednesday is expected to unveil its own version of a Dodd-Frank mandated standard for investment advisors and broker-dealers, and the effort may make it even more difficult for the Department of Labor's fiduciary standard rule to go into effect.  [4/18/2018]
Retirement plan advisers are increasingly being drawn into 401(k) lawsuits, as litigation creeps down market and plaintiffs' lawyers test out new legal theories to ensnare advisers, according to a panel of litigation experts speaking Monday at the annual National Association of Plan Advisors conference.  [4/18/2018]
The public outcry around 401(k) savings generated during the tax-reform debate last year showed Congress that retirement is an important issue to Americans, said Brian Graff, National Association of Plan Advisors executive director.  [4/17/2018]
FINRA has appointed a high-profile critic of the Department of Labor's fiduciary rule to its board of governors.  [4/17/2018]
The Securities and Exchange Commission (SEC) is set to hold a meeting on the topic of whether to propose its own regulation pertaining to the definition of what constitutes fiduciary investment advice.  [4/17/2018]
President Donald Trump intends to nominate Dan Berkovitz, a former CFTC general counsel, to fill the final open slot on the commission, the White House said Monday.  [4/17/2018]
The market for retirement insurance products is slowly and silently disappearing.  [4/16/2018]
Financial firms that reward salespeople with free vacations for promoting retirement investments are pressing the SEC for leniency in a looming rule covering sales practices.  [4/16/2018]
The investment management industry is moving full tilt to capture the promise of alpha and efficiency offered by the application of machine learning to managing money.  [4/16/2018]
The market for retirement insurance products is slowly and silently disappearing.  [4/16/2018]
The investment management industry is moving full tilt to capture the promise of alpha and efficiency offered by the application of machine learning to managing money.  [4/16/2018]
Additional Resources

Nation's Largest Teachers Union Pressures Pension Managers to Remove Firearms Makers from Funds
Global Banking Regulators Get Tool Kit for Combatting Misconduct
Silicon Valley Is Into Bitcoin. It Wants to Keep Washington Out.
IMF Urges Global Regulators to Form Consensus on Definition, Role of Crypto-assets
Brokers Accept Proposed SEC Rule on Who Can Call Themselves an Advisor
SEC's Broker Conduct Rules Lack Clarity, Industry Watchers Say
Something Unusual Happened to Q4 Annuity Sales: IRI
401(k) Lawsuits Being Brought More Aggressively Against Retirement Plan Advisors
New SEC Ad Promotes Background Checks of Investment Professionals
SEC's New Code of Conduct Rules May Eclipse Fiduciary Standard Initiatives
Retirement Coverage Gap, 401(k) Rollovers Are Big Emerging Threats for Plan Advisors
Critic of DOL Fiduciary Rule Appointed To FINRA Board
Ahead of Wednesday Meeting, Stage Set for Fiduciary Jurisdiction Test Between DOL and SEC
Trump to Nominate Dan Berkovitz to CFTC
Retirement Insurance Products Are Disappearing. And That’s Dangerous.
From Hawaii to Italy, Free Trips Fuel Retirement Savings Sales Push
Race Is On to Grab Most Possible from Machine Learning
First Regulated Cryptocurrency Index Fund Launches in the US
Sneak Peek at New SEC Advice Standard Sparks Hope, Concern
States Eye Protections for Investors if Federal Regulation Falters
SEC Warns Advisors to Toe the Line on Fees
Retirement Plan Participants Need Professional Advice: Survey
Boomers With Advisors, Annuities Are More Retirement-Ready: IRI
Fidelity Is Rethinking How It Charges You for Financial Advice
Clayton Wants Fiduciary Proposal Out "Sooner than Later"
MSRB's Issue Brief on Derivatives Stirs Debate
Guaranteed Income Tops Boomers' Retirement Wish List
NYSE Opens Doors to Stocks from Rival Exchanges, Ending Decades-Old Policy
Asset Managers Back US Plan to Limit Stock Exchange Rebates
Big Bond Trades Would Stay Secret Under Proposal
Scottrade Files to Send Galvin's Fiduciary Charges to Federal Court
Some Colleges Bail from TIAA, Objecting to Increase in Fund Fees
Cryptocurrency Firm Coinbase in Talks to Become SEC-Regulated Brokerage
Cashing In: Why Cash Should Be in Your Portfolio Again
BlackRock to Offer Gun-Free Investment Strategies, ETFs
Thirteen Mutual Fund Firms to Reveal More About Active Funds: NY AG
Small Retirement Plan Sponsors Starved for Expert Advice
State Efforts on Fiduciary Standards Slow
Acting Chief Recommends Reining In Consumer Financial Protection Bureau
New York Envisions a State-Run Retirement Plan for Private Workers
Are Annuities Finally Getting Some Respect?
Safe Haven Assets Are Moving Strangely: Why That Should Worry Investors
Retirement Plan Assets, Participation Are Growing: EBRI
Retirement Savings Bill Draws Broad Support, Optimism for Passage This Year
After Ruling, Fiduciary Rule Focus Shifts to SEC
Interest in Annuities Peaks, Study Says
Your ETF May Get Riskier With Planned Rule to Ease Approvals
Key Lawmaker Sees Disclosure as Most Important Part of Investment-Advice Standard
Broker Watchdogs Accused of Letting Sensitive Data Go Public
Pre-Retirees, Retirees Not Addressing Market Volatility in Portfolios
SEC Has Some Catching Up to Do on ETFs, IM Chief Says
Consumer Group Says Industry Wants "Watered-Down" Advisor Rule
DOL Fiduciary Rule Lawsuit Withdrawn by Fixed Annuities Group in DC Federal Court
Saving More for Retirement vs. Work Longer
Bill Aims to Boost Savings
Editorial: DOL Fiduciary Rule: Don't Abandon Compliance Just Yet
BofA's Huge Fine Renews Push for More Info on Where Orders Go
GAO: Regulatory Fragmentation Threatens Fintech Growth
Stock Market Principles Needed in Crypto World: SEC Official
States Could Help Future Retirees Get More Cash from Social Security
DOL Fiduciary Rule Advocates Considering Another Court Fight
Investment Advisor Association, Schwab Press Lawmakers for Tax-Reform Adjustments to Help Advisors
Senate to House: Don’t Risk Upending Deal on Dodd-Frank Rollback
White Paper Calls for Industry Coordination to Challenge Cyber Attacks
Wyoming Law Establishes Task Force to Look at Creating Private-Sector Retirement Plan
FINRA Looks to Streamline Broker-Dealer Exams
Investors Stood Pat During February Correction
Labor Department Won't Enforce Investor Protection Rule After Court Decision
Will SCOTUS Decide the Fate of the DOL Fiduciary Rule?
Fiduciary Rule Fight Drags on for Financial Firms
Ten Years After Crash, Americans Still Have Not Fallen Back in Love With Stocks
Is It Time to Adopt a Uniform Fee-Only Standard for Financial Advice?
Classic 60/40 Mutual Funds See Revival After Correction Carnage
Q4 Indexed Life Sales Rise 7.6 Percent: Wink
Fiduciary Rule Dealt Blow by Circuit Court Ruling
State Auto-IRA Programs Poised to Catch Advisors' Attention
Variable Universal Life Premiums Climb 17 Percent: LIMRA
Labor Dept. Fiduciary Rule Upheld by Tenth Circuit
More 401(k) Plans Moving From Revenue-Sharing Model
Senate Votes to Advance Changes to Dodd-Frank Rollback
Investors Urge U.S. to Introduce New Treasury Bill
California on Verge of Creating Retirement Plan for Private Sector Workers
Tax Reform Propels Muni Market to Largest Size Since 2013
Would Reforming Use of the Title 'Advisor' Mesh With the DOL Fiduciary Rule?
GOP Rushed to Pass Tax Overhaul. Now It May Need to Be Altered
Wells Fargo Advisors Now Under Investigation by Galvin
Senate Bill Aims to Boost 401(k) Annuities, Small-Employer Retirement Plans
BlackRock: DC Participants Most Concerned About Monthly Income in Retirement
SEC Releases Updated FAQ on Liquidity Risk Management Programs
Sen. Warren Introduces Bill Targeting Unpaid FINRA Arbitration Awards
Morningstar Embraces Artificial Intelligence for Fund Ratings
US Considering "Material Changes" to Volcker Rule: Fed's Quarles
Employers Need To Be Pushed Harder To Help Workers Get Lost 401(k)s, Says GAO
DOL Demands Real Action Over Missing Participants
Warren, Daines Bill Would Help Establish a Database for Orphaned 401(k) Accounts
Oregon's New Retirement Savings Pilot Program Opens Statewide
Defined Contribution Plans Showing Returns Closer to Those of Pensions
Crapo's Dodd-Frank Rewrite Set for Senate Floor Vote Next Week
More Than Half of Americans Not Contributing to a 401(k)
CFTC Steps Up Enforcement Against Fraud, Market Manipulation
Health Savings Account Assets Rise 22 Percent in 2017; Investment Assets Up 50 Percent
Auto Features Still on the Rise, but Cost Remains Impediment for Some: Report
Trump's SEC Makes Slow Progress on Trimming Rules
Fund Fees Keep Crumbling as Investors Go Cheap and Passive
Advisor Share-Class Infractions a "Widespread Problem," SEC Says
What's in a Broker's Name? SEC to Address Titles Used When Advising Investors
California Proposal Seeks Shift from Public DB to DC
2017 Was a Good Year for DC Plan Metrics
Regulators to Pull Back on Obama-Era Mutual-Fund Rules
Annuity Owners Are Different: LIMRA
Working Longer Better Than Saving More for Retirement Late in Career
Galvin's DOL Fiduciary Rule Enforcement Triggers Industry Plea for Court Decision
Ex-CFTC Counsel Is Likely Pick for Democratic Slot, Sources Say
State Securities Regulator Says States Can Enforce DOL Fiduciary Rule
Luetkemeyer Releases Data Breach Proposal, Kicking Off New Debate
Spending Bill Sets Path to Fix a Looming Pension Crisis
Washington’s $500 Million Financial-Storm Forecaster Is Foundering
Congress Sets Sights on Federal Cryptocurrency Rules
Galvin Charges Scottrade with DOL Fiduciary Rule Violations
CFTC Warns of "Pump-and-Dump" Cryptocurrency Frauds
Buffer Annuities Grow in Popularity
Retirement Planning More a Focus for Those Participating in Retirement Plans
The New Tax Law: Retirement Savings
In Wake of SEC Action, FINRA to Update Rule on 12b-1 Fee Conflicts
U.S. Firms Are Still Unprepared for Looming EU Data Privacy Rules
Women Worrying More About Retirement Than Men, LIMRA Says
401(k) Plan Sponsors Are Increasingly Hiring Fiduciary Advisers
Trump Budget Would Give Congress Control of Consumer Bureau
SEC to Spare Funds Penalties for Self-Reporting Misconduct
SEC Seeks Budget Increase to Add 13 Adviser Examiners
Insurance Commissioners Are Crafting Their Own Best Interest Standard
Forget the 4 Percent Rule: Rethinking Common Retirement Beliefs
No Rothification, but Some Technical Changes to Retirement Plans in Budget Bill
Only One-Third of Boomers Are Confident They Have Adequate Retirement Savings
Baby Boomers Have Yet To Catch ETF Fever
The Number of 401(k) Millionaires Hits New High
Senate Panel Clears Three Trump Financial Regulatory Nominees
Mom-and-Pop Investors Undeterred by Wild US Stock Market
More Americans Hold Stocks, for Better or for Worse
Sen. Warren Spars with SEC Chief on Fiduciary Rule Status
Lawmakers Eye Retirement Help for Gig Economy Workers
Bitcoin Bubble Burst Raises Concerns from Lawmakers, Regulators About Investors
FINRA Senior Protection Rules Kick In
Cryptocurrency Rules From Congress Sought by US Market Cops
Americans See Value in DC Plan Designs
Disclosure Not the Solution for a Fiduciary Standard, Industry Reps Agree
Trump Should Support Both DOL and SEC Fiduciary Standards, Coalition Says
Rolling Back Dodd-Frank a 2018 Priority, GOP Leaders Say
Delay of DOL Rule Expected To Spike Annuity Sales in 2018
FINRA Revamps Advisory Committees, Adds 2 New Ones
On a Better Savings Course: US Retirement Score Rises
This Is the No. 1 Cybersecurity Threat to Financial Advisors, Experts Say
SEC Halts One of the Largest ICOs Ever as It Wades Deeper into the Murky World of Cryptocurrency Offerings
Rise of Bitcoin Futures Prompts Regulator to Revisit Hands-Off Approach
NJ Moves Closer to Launching State-Run 401(k) Plan
Decade of Easy Cash Turns Bond Market Upside Down
With Stocks Surging, Americans Are Saving at 12-Year Low
House Passes Senior Safe Act
Can Bitcoin Be Regulated? U.S. Courts Are About to Decide
The SEC’s Top 10 Concerns About Cryptofunds
Court May Postpone Fiduciary Rule Decision to Give DOL Time for Review
Hold Tight or Splurge? Booming Retirement Accounts Are Making That a Tough Question.
Regulators Ask Congress for More Power to Police Cryptocurrencies
Mulvaney Details Smaller, Quieter CFPB in Leaked E-mail
State Treasurer, Democratic Candidate for Governor in Iowa Back Retirement Plan for Private Sector
N.Y. Urges Life Insurance Fiduciary Standard in NAIC Rule
Fearful Millennials Are Finally Ready to Take a Chance on the Stock Market
Millennials: 1 in 6 Now Have $100,000 Socked Away
Senate Confirms Jerome Powell as Fed Chair
Many DC Plan Sponsors Reduced Fees in 2017
At ETFs' Biggest Party, Hot Stars Mask a Colder Reality
As Big Firms Exit Broker Pact, Investors Are Uneasy
Financial Services Groups Ask Lawmakers for New Data Breach Law
SEC Braces for Government Shutdown
State Measures to Prevent Elder Financial Abuse Gaining Steam
With Tax Savings, Some Employers Will Boost 401(k) Contributions
Lawsuits Push 401(k) Plan Sponsors to Cut Fees
SEC Pours Cold Water on Prospect of Bitcoin ETFs
Finance Sector Thinking Long Term With 401(k) Boosts
In Rare Move, Investment Advisor Named as Defendant in NYU Retirement Plan Case
Investment Companies Fight Effort to Undo Fund Rules
CFA Urges 'No' Vote on Limiting Investor Right to Sue Funds over High Fees
U.S. Supreme Court Takes Up Challenge to SEC In-House
Fiduciary Groups Urge SEC to Prevent Brokers from Using 'Advisor' Title
For Bond Investors, Low Expectations in a Low-Yield World
Munis Received Short Shrift at First SEC Fixed-Income Committee Meeting
Bill Requiring Fiduciary Disclosure Reintroduced in New Jersey
House GOP Guns for DOL Fiduciary Rule
Fiduciary Rule Poised for Second Life Under Trump Administration
Bill Would Clear Way for More Annuities in Retirement Plans
Tax Reform Prompts Visa to Raise 401(k) Match for Employees
FINRA Releases Exam Priorities for 2018
Use of Bank-Owned Life Insurance Grows
Downside of Automatic 401(k) Savings: More Debt
As Dow Tops 25,000, Individual Investors Sit It Out
New York Floats Best Interest Standards for Insurers
House Bill Seeks Retirement Plan "Simplification and Enhancement"
Orrin Hatch Announces He Will Retire from the Senate
Workers Regret Not Saving More for Retirement: Study
Who Are the Big Players in the Bond Market? Small Investors
What to Watch on the Fiduciary Front in 2018
Assets in Fiduciary Accounts Grow to 42 Percent of Total
Insurers Want More of Your Money to Manage
Labor Department Grants Banks Multiyear Waivers to Manage Retirement Plans
State Retirement Savings Program Opens to Small Businesses Across Oregon
Investors Diving into Risky Bank Bonds
New DOL, SEC Officials Help Advance Fiduciary Rule Work
Fiduciary Rule May Take on SEC Influence
Senate Confirms SEC Nominees
Fee-Based Annuities Bright Spot in Disappointing 2017
Move from Active to Passive Funds Slows in November
Regulators See Cybersecurity as Top Financial Industry Risk
Small Investors Rejoice After Lawmakers Cut Controversial Tax Provision
401(k) Tax Changes Would Slash Retirement Savings: Wells Fargo Survey
Representatives Introduce Electronic Disclosure Bill for Retirement Plan Information
IRI Finds 15 Percent Drop in Q3 Annuity Sales
Industry Opponents Urge Appeals Court to Rule on DOL Fiduciary Rule
Lawmakers Introduce Bill to Clarify Rules on Lifetime Income Products in DC Plans
Over $600 Billion Has Flown into ETFs in 2017
Investors Can't Buy Munis Fast Enough
U.S. Investors Overweight in Stocks Despite Market Fears: Study
Stock Market ETFs are Attracting a Record-Setting Level of Investor Cash
Americans’ Nest Eggs Have Never Been Bigger
One Potential Winner from Tax Overhaul: Corporate Bonds
Why More Advisors Are Offering Financial Planning Services
Despite Delays, DOL Rule Becoming Law of the Land, Expert Argues
Risks Lurk in DOL Rule Exemption for "Clean Shares"
SIFMA, Others to Regulators: No New Cybersecurity Rules Needed
Fiduciary Focus Spurs Advisors to Home In on Lowest-Cost ETFs, Survey Finds
Senate Republicans Pass Sweeping Tax Bill
Banks Build Line of Defense for Major Cyberattack
U.S. Treasury's Phillips Calls Fiduciary Rule 'Regulation Looking for a Problem'
Day after DOL Delay, SEC's Jay Clayton Calls Fiduciary Rule a Priority
Advisor Proposes Tax Credit For Deferred Income Annuities
Delay of DOL Fiduciary Rule Enforcement Mechanisms Now Final
Can the SEC and DOL Really Harmonize Advice Standards for Brokers and Advisors?
CFPB Official Sues Trump Administration Over Agency Leadership
A Tax Provision That Would Exempt Mutual-Fund Firms but Not Individuals
Labor Secretary Mum on Specifics Of DOL Rule Review
Senate Tax Cut Bill No Longer Taxes 401(k) Catch-Up Contributions
401(k) Plans Remain Untouched in Tax Bill Passed by House
House Passes GOP Bill to Overhaul Tax System
The New Tax on Stock Investors Hidden in the Senate Tax Plan
Banks Closer to Winning Regulatory Relief After Senate Deal
Senate Tax Bill: What's in It for Financial Services
Tax Reform: What Advisors Need to Know About the Senate Bill
SEC Says Companies Can Expect New Guidelines on Reporting Cybersecurity Breaches
House Ways and Means Approves Tax Reform Package
Wells Fargo Launches Robo-Advisor to Target New Investors
'Rothification' of 401(k) Plans Likely in Senate Tax Plan
Regulation Can't Solve Cyber Security Problems, Fed Official Says
Fed's Dudley Warns Against Overly Aggressive Regulation Rollback
DOL Rule Delay Will Likely Be Final in Three Weeks: Acosta
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Space Available for Friday’s Depository Peer Group Discussion
Share Your Hurricane Harvey Support Story with BISA
Recognize Your Colleagues: Now Accepting Award Nominations
Another Dodd-Frank Delay?
FSR Applauds Senate Confirmation of Labor Secretary Acosta
Trump Suspends Dodd-Frank Provisions



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