DOL: Don’t Call it a Fiduciary Rule

October 18, 2023

DOL Submits New Fiduciary Rule for Review; Faces Fierce Resistance

September 12, 2023

Congressional Leaders Urge DOL to Halt Work on New Fiduciary Rule

September 1, 2023

Dept. of Labor to Unveil New Fiduciary Rule

June 16, 2023

DOL Independent Contractor Rule Debated

April 21, 2023

FSI Adds Five Directors to Board

January 25, 2023

FSI Study “Confirms Our Worst Fears” About DOL’s Independent Contractor Proposal

January 19, 2023

Cerity Completes Third RIA Acquisition in January, Adding $8.6 Billion in AUM

January 18, 2023

Former Registered Rep Sentenced to 20 Years for $115.5 Million Ponzi Scheme

December 30, 2022

ADISA Publishes Best Practices for DST 1031 Exchanges

December 1, 2022

SEC Adopts Rules to Enhance Proxy Voting Disclosure by Registered Funds

November 4, 2022

SEC “Gag Orders” Blasted by Federal Judge

November 1, 2022

SEC Charges Six Individuals with Defrauding Multiple Broker-Dealers

November 1, 2022

Financial Services Institute Requests that DOL Extend Comment Period on Independent Contractor Proposal

October 26, 2022

Department of Labor Proposes Rule to Restrict Classification of IBD Reps as Independent Contractors

October 12, 2022

SEC to Hold Public Fiduciary Rule Meeting Next Week

April 13, 2018