Two-thirds of advisors surveyed by Aberdeen said investment products have become harder for clients to understand.

While SIFMA 'strongly supports' some recommendations, others are 'incongruous' with Dodd-Frank's intent, says SIFMA's Carroll.

Rollovers guidance would make it easier for a plan sponsor to accept a rollover from other qualified plans and IRAs, says Treasury's Iwry.

Retail Investor Protection Act will come up for a vote on Tuesday, and is likely to pass.

A study of more than 1,600 arbitration cases over the past five years shows an alarmingly high rate of brokers who were able to get their arbitration histories wiped clean, according to a report by the Public Investors Arbitration Bar Association.

The U.S. Department of Labor's revamped fiduciary standard will include transactions involving IRA accounts but won't be ready by October, as had been anticipated.

White says she has directed SEC staff to engage more with DOL regarding both agencies fiduciary rules.

The Financial Planning Coalition says BDs with fiduciary accounts see stronger asset growth; Schwab says RIAs must beware of harmonization.