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Articles tagged "ICI"


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Marcia Wagner: [It] essentially eliminates the need for transition agreements, disclosures and certain structural changes -- such as the appointment of a BICE officer -- that were formerly required to be in place on the applicability date.

'Poof, it's gone!' DOL quietly strips two heavy lifts from the fiduciary rule as it makes delay official

The Department of Labor effectively makes the 60-day delay into a 270-day one as part of document that was supposed to only formalize the postponement until June 7

April 5, 2017 at 7:41 PM

Mark Casady: That is an extreme. I don't see that happening, but that is kind of the range of the thinking.

LPL CEO floats orphaning 3% of its brokerage business in prelude to DOL 'travesty'

Mark Casady says he may lop off brokerage accounts of $15,000, citing looming rule changes

October 30, 2015 at 6:28 PM

Tom Gonnella: It makes no sense to place the burden on individuals to figure out how much their nest egg is costing them.

Obfuscation Nation: 401(k) fee disclosure laws still don't give the true cost of plans and may well cause more agita for would-be retirees

The new DOL rules are far from ideal but may give fee-based advisors an edge in the small-plan market

August 28, 2012 at 4:37 PM

Paul Schott Stevens: These proposals are like a game of Clue. (Photo by Bloomberg)

New rule threatens to drive millions of investors out of money market funds, ICI chief warns

Paul Schott Stevens and a very blunt John Bogle air their views at the Bloomberg Portfolio Manager Mash-Up Conference in New York

February 17, 2012 at 7:16 AM

Skip Schweiss: "I had in mind that some organization that is familiar with the fiduciary standard practiced by RIAs would set the standards, then perhaps an organization like FINRA could lend its examination expertise/process/infrastructure."

Advisory factions steel for end game as SEC's verdict on FINRA SRO comes down

As action moves to Congress, a flurry of meetings and Schwab's appearance

January 14, 2011 at 3:05 PM

SEC headquarters has seen plenty of traffic lately, as companies and lobbying groups send execs aiming to influence a pending report on advisor oversight.

Most RIAs prefer to pay money for SEC exams now than pay in blood later under an SRO

TD Ameritrade survey comes as resistance to FINRA empowerment wells up from wide array of organizatioms

December 10, 2010 at 4:40 AM

Tony Ferreira: They’re a victim of the recession.

Some experts question Cogent Research study's finding of big dip in 401(k) plan ownership

The bad economy deterred participation in employer retirement plans but their growth may stay suppressed longer term, researchers say

April 29, 2010 at 6:26 AM

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