But how a Democratic-led SEC interprets and enforces Reg BI depends on its chair.
Bob Veres Talks Fiduciary, Credits Institute Thinking on CFPB
Commentary relates Fiduciary meaning like a Frankel or Rhoades; shies away from the 800 pound gorilla in the CFPB room.
Deciphering ‘Best Interest’ in Reg BI
Industry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
Trump v. Biden: With No Winner (Yet), Advisor Regulatory Changes in Limbo
The future of investor protection hinges largely on who wins the next Presidential election.
It’s legal to give bad financial advice. New SEC protections may not help much
CNBC profiles the impact of Reg BI on sales, advice, and investors themselves.
Students Worry About Being Corrupted on Wall Street
Knut Rostad summarizes his recent interview with Princeton lecturer JC de Swaan on virtue in finance.
