BISA Portfolio
Salespeople offering life insurance and annuities in New York next year will need to ensure the products are in the “best interest” of customers, the state’s Department of Financial Services (DFS) said on Wednesday.  [7/19/2018]
A bipartisan group of senators introduced a package of retirement savings bills Tuesday that includes making it easier for small employers to join pooled employer plans and giving employers incentives to use automatic enrollment and automatic escalation features.  [7/18/2018]
US Federal Reserve Chairman Jerome Powell delivered an upbeat assessment of the economy, signaling it is strong enough to handle continued, gradual interest rate increases.  [7/18/2018]
July is looking like a watershed month for financial technology policy.  [7/18/2018]
The House Ways and Means Committee's passage last week of a measure to expand health savings accounts (HSAs) is receiving praise from investment advisors, though the legislation faces a difficult path before becoming law.  [7/17/2018]
Four financial services groups are warning that current efforts to develop a "best-interest standard" are so uncertain that trying to comply with the standard would be incredibly difficult.  [7/17/2018]
Sens. Susan Collins (R-ME) and Mark Warner (D-VA) have introduced the Savings Incentive Match Plan (SIMPLE) Plan Modernization Act to provide greater flexibility and access for businesses with 100 or fewer employees seeking to use SIMPLE plans to save for retirement.  [7/16/2018]
Worldwide inflows into exchange-traded funds (ETFs) fell to $223 billion in the first half of 2018, down more than one-third on the same period last year, according to data provider ETFGI.  [7/16/2018]
Investors can now buy exchange-traded funds (ETFs) cheaper than ever as a result of the intensifying price war in the $3.5 trillion ETF industry.  [7/13/2018]
Investors at roundtables in Atlanta and Washington, DC, told SEC staffers that proposals that are supposed to help consumers understand if they’re working with a broker or a registered investment advisor are confusing, according to attendees.  [7/13/2018]
Although movement has been slow, state activity does signal continued interest in investment advice standards, even as the Labor Department's fiduciary rule wanes and the SEC works on its own advice reform proposal.  [7/13/2018]
Investors can now buy exchange-traded funds (ETFs) cheaper than ever as a result of the intensifying price war in the $3.5 trillion ETF industry. The cheapest ETFs now cost just $3 a year for every $10,000 invested.  [7/12/2018]
Federal legislation poised for consideration by a House committee on Wednesday could reduce regulatory costs for smaller investment advisory firms.  [7/11/2018]
Brett M. Kavanaugh, nominated to fill a Supreme Court vacancy, once cast a deciding vote in a case crucial to the evolution of investment advice standards.  [7/11/2018]
The House Financial Services Committee will vote Wednesday on a bill to establish an interdivisional task force at the SEC to protect senior investors.  [7/11/2018]
Three financial services industry lobbying groups opposing the Department of Labor fiduciary rule notified a federal court in Texas on Monday that they would seek no more action in the matter.  [7/11/2018]
Nearly 20 percent of U.S. workers will be contingent by 2020, according to a study by Ernst & Young (EY), with other private-sector surveys projecting even higher numbers.  [7/10/2018]
FINRA is requesting member firms to submit a wide range of details relating to their cryptocurrency-focused activities.  [7/10/2018]
Nearly 20 percent of U.S. workers will be contingent by 2020, according to a study by Ernst & Young (EY), with other private-sector surveys projecting even higher numbers.  [7/10/2018]
Recent guidance from the SEC about investment advisors' custody of client funds cleared up one aspect of the regulation but didn't go far enough to illuminate the complicated rule, according to compliance experts.  [7/9/2018]
Additional Resources

Retirement Bills in Congress Could Alter 401(k) Plans
Powell Says Fed Should Keep Gradually Raising Interest Rates
Trump Administration Looks to Bring More Clarity to Fintech Regulation
Advisors Applaud House Bills to Expand Health Savings Accounts
No One Even Knows What 'Best Interest' Means, Industry Groups Say
Legislators Propose Expanded Features for SIMPLE Plans
Trade War Fears Blunt Growth in Global ETF Industry
Investors Win from ETF Price War
Investors Tell SEC Best Interest Proposals Are Misleading
State-Level Activity Slows on Fiduciary Legislation
Bill Could Ease Regulatory Burden on Small Investment Advisory Firms
Supreme Court Nominee Brett Kavanaugh Voted to Strike Down 'Merrill Rule'
House Introduces Bill Targeting Elder Financial Abuse
District Judge Sets Deadline in DOL Fiduciary Rule Case
Efforts to Help Gig Economy Workers Save for Retirement Gaining Ground
FINRA Wants to Know All About Member Firms' Crypto Activities
Even After SEC's Additional Guidance, Custody Remains Complicated Rule for Investment Advisors
Retirement Legislation Could Be Hot Topic in 2019, Conference Attendees Told
Vanguard Will Let Investors Trade Its Rivals' Funds Online for Free
SEC Hits the Road to Hear Investors' Thoughts on Best-Interest Plan
Piwowar: Comments Will Be Critical in Shaping SEC Advice Rule
Expect More AI and Alternative Data in Future Research
Unpaid Arbitration Awards Bill by Sen. Elizabeth Warren Criticized at Hearing
Organizations Launch Campaign to Get Investment Advisors to Comment on SEC Advice Rule
SEC Moves to Streamline Exchange-Traded Fund Launches
Morgan Stanley Adds Former SEC Chairwoman to Its Board
Empower's New 401(k) Cybersecurity Guarantee a Sign of the Times
North American, UK, Asian Regulators Press EU on Data Privacy Exemption
Companies Find a Regulation to Love with Bill to Curb Shareholder Power
Push to Require Roth 401(k) Savings over Traditional Plans May Re-emerge
Upstarts Crash Wall Street’s $7 Billion Capital-Markets Party
Galvin: Scottrade Fiduciary Case Still On Despite 5th Circuit Ruling
IRA Assets Will Almost Double Those in 401(k) Plans Over Next Five Years
Firms With Troubled Brokers Are Often Behind Sales of Private Stakes
Indexed Annuity Issuers Seek 401(k) Plan Default Investment Role
SEC Judges Were Appointed Unlawfully, Justices Rule
New York-Based Judge Rules CFPB's Structure Is Unconstitutional
Treasury to Recommend Regulatory Sandboxes for Fintech
SEC Saves the Date to Discuss Major New ETF Rule
Clayton Defends SEC Advice Rule Amid Congressional Grilling
401(k) Fund Fees Continue to Fall
Merrill Lynch Fined $42 Million for Misleading Customers
Senate Subcommittee Approves Fiscal 2019 Budget for Financial Services
SEC Lays Out Priorities for Next 5 Years
Supreme Court to Hear Case Challenging Government's Ability to Charge Securities Fraud
Bitcoin Could Break the Internet, Central Bank Overseer Says
Wall Street Bond Lies Expose Culture Failure, SEC's Clayton Says
BlackRock Is Offering a Free Perk That Lets It See Inside Your Portfolio
Merrill Considers Lifting Ban on Commission-Based Retirement Accounts
Target Date Funds Work "Better Than Anything Else" for Investors: Morningstar
Study Finds "Speed Bumps" Help Protect Ordinary Investors
Bitcoin and Ether Shouldn't Be Regulated Like Stocks and Bonds, a Top SEC Official Says
DOL Fiduciary Rule on Brink of Death as Key Deadline Passes
SEC Advice Rule: Industry, Investor Advocates Split
Not All ETF Factors Are Compatible, Morningstar Panel Says
Millennials Are Dumping Their Individual Stocks and Flocking to ETFs, Schwab Survey Shows
Schwab Lobbyist: SEC Right Not To Make Reg BI A Fiduciary Standard
AARP Calls for Changes to SEC's Investment Advice Proposal
State-Sponsored ‘Auto-Enrollment’ Could Avert Retirement Crisis, Says Morningstar Analyst
Scottrade’s Fiduciary Infractions Violate State Law: Galvin
SEC Chair: Most of Dodd-Frank Is Here to Stay
Clock Ticking for RIAs to Self-Report Sales of High-Fee Mutual Fund Share Classes
GDPR: Final Call for US Asset Managers
Are Low-Cost Mutual Funds Now Competitive With ETFs?
ETF Price War Extends to New Corners of the Market
New ETF Rule Is on the SEC's Front Burner, or So Wall Street Hopes
US Regulator Demands Trading Data from Bitcoin Exchanges in Manipulation Probe
Coinbase, Circle Vie to Create Brokerages for Crypto Securities
Focus on Fiduciary Boosts ETFs
Financial Planners Push to Add Restrictions on Use of Term in SEC Advice Proposal
One Firm Is Way Ahead of Wall Street on Bitcoin
Volcker Rule Changes Move Forward After SEC Votes on Overhaul
Return to Sender: Mutual Fund Reports Will Go Paperless
Clayton Promises ‘Not to Take Forever’ on SEC Advice Rule
Is William Galvin on His Way Out in Massachusetts?
Regulators Back Threshold for Swap-Dealer Registration at $8 Billion
SEC Letter OKs Disbursement Delay if Elder Fraud Suspected
SEC Chair to Stress Cyber Risk in Congressional Budget Testimony
New SEC Nominee Could Become Decisive Vote on Investment Advice Proposal
Custody: Unchartered Waters for Digital Assets
Bank Regulators Go to 2-Day Trade Cycle
5th Circuit Mandate to Vacate DOL Fiduciary Rule 'Still Pending'
Trump Taps GOP Senate Aide for SEC Seat
Blockchain Shows Leveraged Loans a Path to the 21st Century
Huobi Is Launching a Cryptocurrency Exchange-Traded Fund
Commentary: Solving America's Retirement Security Challenges
California Created a Savings Program for Workers Without Retirement Benefits. A Group Is Suing to Kill It
Interest Groups Split on Delaying Comments for SEC Advice Proposals
Exchanges Blast SEC for Plan to Rein In Rebates
Commentary: How the SEC Advice Rule Improves on the DOL Fiduciary Rule
Insurers Win Provision Forcing Fed, Treasury to Consult on Global Rules
Big Financial Companies to Team Up to Help Fintech Startups
A Global Call to Modernize Retirement Systems
GDPR to Force Fund Companies to Reveal Extent of Cyberattacks
About $1.2 Billion in Cryptocurrency Stolen Since 2017: Cybercrime Group
GAO Wants More Clarification from Labor Department on Utilizing ESG Factors
House Panel Advances Financial Services Spending Bill
Piwowar Defends SEC's Best-Interest Rule
FINRA to Start Examining New Muni Markup Rule Compliance
Supreme Court Decision Likely to Prevent Brokers from Filing Class-Action Lawsuits
SEC Official Addresses Criticism of Best-Interest Standard for Brokers
5th Circuit Denies States' Second Attempt to Defend DOL Fiduciary Rule
Congress Approves First Big Dodd-Frank Rollback
Washington Inc. Embraces Cryptocurrencies
Regulators Launch "Operation Cryptosweep" Against ICOs
How to Launch Cryptocurrency Derivatives: CFTC Issues New Guidance
FINRA Anticipates Oversight Role for SEC Advice Rule
Cryptocurrency Firms Explore Getting Bank Licenses
GOP Senate Aide Considered for SEC Post
Pope Francis Wants Financial Advisors to Work like Fiduciaries
Democrats Say Investors Vulnerable Without DOL Fiduciary Protection
Pope Calls Derivatives Market a "Ticking Time Bomb"
Buyer Beware: Hundreds of Bitcoin Wannabes Show Hallmarks of Fraud
Spooked by Scandals, Asset Management Tries to Self-Police
States Trying to Save DOL Fiduciary Rule Appeal Rejection of Effort to Intervene
Assets in IRAs Top DC Plan Assets by 41 Percent: EBRI
An Increasing Number of Savers Are Rejecting Retirement Accounts in Favor of These Investments
401(k) Investors Moved from Equities into Fixed Income in April
HSBC Says It’s Made the World's First Trade Finance Transaction Using Blockchain
US ETF Providers Cry Foul over SEC's Fee Experiment
The Passive-Investing Bid for US Equities Is Roaring Back
Most Americans Distrust Their 401(k) Plan Providers
Most Advisors Uncertain About SEC's Best Interest Proposals, TD Ameritrade Finds
CME Launches Indexes for Ethereum
CFTC Official Urges SEC to Clarify Ether's Status
SEC's Hester Peirce Blasts Agency for Pursuing Small Infractions
Galvin Fighting for Fiduciary Duty That "Only He Believes Exists": Scottrade Attorneys
Workers Are Now Focusing on Retirement Benefits over Healthcare Plans
US Muni Bond Firms Race to Comply with New Price Transparency Rule
Iowa Insurance Regulator Cautions SEC About Modifying Suitability Rule
DOL Fiduciary Rule Still Effective Until Court Issues Mandate: Lawyer
1 in 3 Americans Have Less Than $5,000 in Retirement Savings
Starting Next Week, You Can See Brokers' Profits from Bond Sales
Piwowar Departure Will Complicate Action on SEC Advice Rule
Bitcoin Sees Wall Street Warm to Trading Virtual Currency
CFTC Is Weighing Staff Buyouts After Budget Cut
Republican SEC Commissioner Piwowar to Step Down
With DOL Rule Defeated, States May Step In with Own Fiduciary Rules
DOL Announces Fiduciary Rule Enforcement Policy
Fiduciary Advocates Disagree SEC Advice Rule Harmonizes Standards
Trump Administration to Grant Wall Street Fiduciary Relief
New York, Illinois Consider Regulatory Sandboxes for Fintech Industry After Arizona Adopts Concept
Behnam: FSOC Should Lead More on Fintech
FINRA Amends Anti-Money Laundering Rule to Comply with Treasury Program
Advisors, Sponsors Cutting 401(k) Fees
Inappropriate Investments, Excessive Fees, Self-Dealing Most Common Reasons for ERISA Lawsuits
World's Second Most Valuable Cryptocurrency Under Regulatory Scrutiny
No Matter How Bad the Share-Class Violation, SEC Won't Oppress Those Who Self-Report
SEC is Cautiously Open to Initial Coin Offerings, Commissioner Says
SEC IM Chief Offers Clarity on Broker Conduct Standards
DOL Rule Rehearing Is "Unjustifiable": Eugene Scalia
Plans Take Lead to Find the Missing Retirement Plan Participants
New Council to Focus on Best Practices in Cyber Security
Senators Introduce Bill Calling for Retirement Commission to Guide Congress
AGs Want New Hearing on DOL Fiduciary Rule to Protect Retirees
SEC Advice Rule: Jay Clayton Says Brokers Must Adhere to "Fiduciary Principles"
Startups Love This Cryptocurrency Strategy. Regulators Say Not So Fast.
Employers Unprepared for 401(k) Plan Data Breaches
FSOC Changes Rules to Allow Voting Members to Choose Stand-ins
One in Five Financial Institutions Consider Cryptocurrency Trading, Survey Says
Retirees Are Less Confident About Having Enough to Live On
‘Buckets of Money’ Case Tests Power of SEC Judges in Trump Era
DOL Releases Guidance for Socially Conscious Investments
FINRA Proposes to Widen Net for Churning Violations
A Former Top Wall Street Regulator Turns to the Blockchain
The SEC Wants Wall Street to Treat Clients Better. What’s at Stake?
Massachusetts Regulator Rips SEC's Best Interest Proposals for Brokers
April 30 Deadline Looms for DOL Fiduciary Appeal
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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Another Dodd-Frank Delay?
FSR Applauds Senate Confirmation of Labor Secretary Acosta
Trump Suspends Dodd-Frank Provisions

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