Key Takeaways - FINRA’s 2025 Annual Regulatory Oversight Report 2025-annual-regulatory-oversight-report.pdf included a focus on issues related to retirees and senior investors. - The Report provides guidance to...more
The Department of Labor’s proposed fiduciary “package” includes a new definition of nondiscretionary fiduciary investment advice. In overturning the Obama-era fiduciary regulation, the 5th Circuit Court of Appeals said...more