Browsing Tag
Massachusetts Securities Division
8 posts
Vanguard to Pay ‘Restitution’ Over Target-Date Tax Liabilities
In addition, Vanguard will make a one-time payment to Massachusetts
State Fiduciary Standard Finalized in Massachusetts
In the absence of a fiduciary standard at the federal level, the Commonwealth of Massachusetts took a step…
Group Urges Massachusetts to Wait on Fiduciary Standard
Massachusetts consumers stand to lose access to vital retirement planning and other financial advice under a proposed state…
Massachusetts Regulator Proposes Fiduciary Rule
Frequent SEC Reg BI critic William Galvin, Secretary of the Commonwealth of Massachusetts, announced Friday that his Securities…
Secretary Galvin Slams SEC Fiduciary Rule ‘Fail’
High-profile regulator and Massachusetts Secretary of Commonwealth William Galvin pulled no punches in his view of the SEC’s…
Sloppy Scottrade Fiduciary Slip Completely Self-Inflicted
Regarding its ongoing drama with Spitzer mini-me William Galvin, a simple misstep might have done Scottrade in—and it…
Massachusetts Slams Scottrade for Alleged Sales Contest Fiduciary Fail
The Department of Labor might allow for regulatory wiggle room before full implementation of its fiduciary rule; not…
Will Dems Destroy 401(k) Robo Ingenuity?
Former Democratic Congressman and political gadfly Barney Frank spoke to a group of advisors some years ago, arguing…