Anya Coverman, president and CEO of the Institute for Portfolio Alternatives, talks about potential policies at the federal and state levels that could stem advisors’ ability to use alternative investments in client portfolios.

The final impact has yet to be determined.

A House appropriations bill includes a rider that could delay or defund the DOL fiduciary rule. The CFA is urging Congress to stand against it.

The Investment Adviser Association is worried the potential rules would duplicate protections that already exist, according to the organization’s general counsel.

John J. Woods pleaded guilty last year to a scheme that spanned more than a decade and harmed hundreds of investors throughout the country, according to the Justice Department.

The settlements with Northwestern Mutual, Guggenheim and Oppenheimer & Co. mirror other allegations concerning retaining electronic communications.

The “Investor Choice Act” would prohibit b/ds and advisors from mandating client arbitration. Additionally, PIABA and other investor advocates are pressuring the SEC to ban the practice.

Some compliance experts took issue with a recent Michael Kitces podcast that appeared to endorse a marketing strategy that includes soliciting and reposting clients’ Google reviews.

It's focusing on recruiting those with specialized tax expertise.

The Institute will again take the Labor Department to court if it does not withdraw or “substantially improve” the rule governing advisors to retirement accounts, according to CEO Dale Brown.