Retirement Regulation

How did compliance efforts affect product lines, compensation models, and sales and revenue?

Firms that were best prepared for Labor's fiduciary rule will have smoother transition under SEC rule

Senate Finance Committee Chairman Chuck Grassley says the timing is uncertain and could depend on 3 factors.

Change in final rule has support from SEC's critics.

Recommendations on 401(k) rollovers brought into Reg BI fold.

Reg BI, Clayton said, "will substantially enhance the broker-dealer standard of conduct beyond existing suitability obligations."