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Topic

SEC issues FAQs on investment advice rule

The agency published answers to four questions about Form CRS.

Topic

SEC proposes tougher sales rule for exchange-traded products

The agency, concerned about consumer protection, says clients need a baseline understanding of product risk.

Topic

Pete Buttigieg proposes a ‘public’ 401(k) program

The proposal is similar to others seeking to improve access to workplace retirement plans but would require an employer match.

Topic

DOL digital 401(k) rule not digital enough, industry says

Some stakeholders say the disclosure proposal is still paper-centric and should take into account newer technologies.

Topic

Five brokers lose Ohio National lawsuit over annuity commissions

Judge rules the brokers weren't beneficiaries of the selling agreement between the insurer and broker-dealers.

Topic

Bill would allow tax-free 401(k), IRA withdrawals to buy long-term care insurance

The measure, which would eliminate income tax and the 10% early withdrawal penalty, could boost the pool of Americans seeking private insurance.

Topic

There’s a ‘turf war’ coming in financial advice

Financial advisers may find it harder to compete as large firms encroach more on mass-affluent customers, says Fidelity's Michael Durbin.

Topic

Buffer annuities push variable annuity sales to three-year high in Q3

Buffer annuity sales are set to increase more than 50% in 2019 as a result of low interest rates and new product features.

Topic

Mutual fund conflicts pose issues for brokers under Reg BI

Revenue sharing is an opaque practice that may require additional attention from broker-dealers as the SEC rule takes effect, Morningstar warns.

Topic

Complaint claims Ohio National poses ‘danger’ due to its ‘illegal’ activity

Insurance agent Elisia Lattimer lodged a complaint with the Ohio insurance department, alleging the company engaged in an illegal practice of 'rebating' and executives tried to cover it up.

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