News
Stay up to date on the latest news, industry updates, and releases related to Broadridge Fi360 Solutions.
Exclusive Interview: Blaine Aikin says DOL Fiduciary Rule’s “Lasting Impact Lives On”
FiduciaryNews.comApril 30, 2019
FiduciaryNews.com catches up with Fi360 executive chairman, Blaine Aikin and his insights on current regulatory developments.
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Why 401(k) advisers should stress-test client portfolios
InvestmentNewsApril 29, 2019
Traditional methods of performing investment due diligence use models that may not fully correspond to reality
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Fidelity sales tactics called out in settlement of retirement plan lawsuit
InvestmentNewsApril 23, 2019
Attorney Jerry Schlichter won a provision that prevents Fidelity from using participants' data to cross-sell products to them.
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Warren presses FINRA for answers on expungement reform
Financial PlanningApril 01, 2019
Sen. Elizabeth Warren is asking some pointed questions about FINRA's evolving protocols for deleting customer dispute information from brokers' records, amplifying a theme of business accountability that is a central element of her presidential campaign.
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401(k) adviser fees for small plans buck compression trend
InvestmentNewsMarch 29, 2019
Fees for plans with $10 million have increased 12% in five years, while those for plans with $100 million have declined 20%
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Clayton says disclosure sufficiently mitigates some conflicts under Reg BI
InvestmentNewsMarch 26, 2019
SEC chairman says guiding principle should be: 'What would a reasonable investor expect?'
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