MAY 2, 2018

DOL FIDUCIARY RULE

Last-Minute Efforts by AARP, States to Save Fiduciary Rule Fail

Diana Britton

The Fifth Circuit Court of Appeals will not grant the AARP’s and states’ requests to rehear the case against the DOL fiduciary rule.

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REGULATION AND COMPLIANCE

LPL Dinged Up to $26 Million Over Sales of Unregistered Securities

Diana Britton

An investigation by state securities regulators found the independent broker/dealer failed to prevent the sale of certain equity and fixed income securities that may not have been properly registered in their domains.

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ETFS

Energy ETFs Were, Well, Energetic in April

Brad Zigler

April was a good month. Better for some than others.

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