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Stay up to date on the latest company news, developments, and releases; new product and services offerings; advocacy and policy activities; and opportunities for our members and the fiduciary community.

Exclusive Interview: Blaine Aikin says DOL Fiduciary Rule’s “Lasting Impact Lives On”

FiduciaryNews.com
April 30, 2019

FiduciaryNews.com catches up with Fi360 executive chairman, Blaine Aikin and his insights on current regulatory developments.
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Fidelity sales tactics called out in settlement of retirement plan lawsuit

InvestmentNews
April 23, 2019

Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
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Warren presses FINRA for answers on expungement reform

Financial Planning
April 01, 2019

Sen. Elizabeth Warren is asking some pointed questions about FINRA's evolving protocols for deleting customer dispute information from brokers' records, amplifying a theme of business accountability that is a central element of her presidential campaign.
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401(k) adviser fees for small plans buck compression trend

InvestmentNews
March 29, 2019

Fees for plans with $10 million have increased 12% in five years, while those for plans with $100 million have declined 20%
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Clayton says disclosure sufficiently mitigates some conflicts under Reg BI

InvestmentNews
March 26, 2019

SEC chairman says guiding principle should be: 'What would a reasonable investor expect?'
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Fiduciary duty and the choice between active and passive

InvestmentNews
March 26, 2019

The well-recognized merits of passive investing do not mean that all index investments are prudent or superior to active alternatives in all situations
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