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Why 401(k) advisers should stress-test client portfoliosInvestmentNews
April 29, 2019
Traditional methods of performing investment due diligence use models that may not fully correspond to reality
Fidelity sales tactics called out in settlement of retirement plan lawsuitInvestmentNews
April 23, 2019
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
Warren presses FINRA for answers on expungement reformFinancial 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.
401(k) adviser fees for small plans buck compression trendInvestmentNews
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%
Clayton says disclosure sufficiently mitigates some conflicts under Reg BIInvestmentNews
March 26, 2019
SEC chairman says guiding principle should be: 'What would a reasonable investor expect?'
Fiduciary duty and the choice between active and passiveInvestmentNews
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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