Tag: RIAs
DOL Submits New Fiduciary Rule for Review; Faces Fierce Resistance
The Department of Labor is facing strong opposition to its newly released proposal that “would amend the regulatory definition of the term fiduciary …...
Congressional Leaders Urge DOL to Halt Work on New Fiduciary Rule
In a letter to Acting Labor Secretary Julie Su, senior lawmakers on the Senate Health, Education, Labor and Pensions (HELP) Committee and the House...
Dept. of Labor to Unveil New Fiduciary Rule
The Department of Labor announced in its spring 2023 regulatory agenda that its revised fiduciary rule, now referenced as “Conflict of Interest in Investment...
DOL Independent Contractor Rule Debated
The Department of Labor’s recent proposal regarding the classification of independent contractor rules was recently debated during a hearing of the House Subcommittee on...
FSI Adds Five Directors to Board
The Financial Services Institute announced that it has added five directors to its board.
The new members are:
Libet Anderson, president – Concourse Financial Group...
FSI Study “Confirms Our Worst Fears” About DOL’s Independent Contractor Proposal
The Financial Services Institute announced the findings of a study analyzing the potential impact of the Department of Labor’s recent proposal regarding independent contractor...
Financial Services Institute Requests that DOL Extend Comment Period on Independent...
The Financial Services Institute is asking the U.S. Department of Labor to extend the comment period for an Independent Contractor Rule Proposal released by...
Chalice Financial Network Launches M&A Support Platform for Advisors
Chalice Financial Network, a member benefits organization for independent financial advisors and RIAs, has launched Chalice Advisor Lending Solutions, which provides support for advisors...
Securities America Adds Former NPH Hybrid with $744 AUM
Securities America, the broker-dealer subsidiary of Ladenburg Thalmann Financial Services Inc. (NYSE: LTS), announced that Elite Financial Network has joined its independent advisory and...
