Phyllis Borzi roundly criticizes the DOL class exemption that would allow retirement plan advisors to receive commissions.
Groups Urge More Time to Comment on DOL Rule
Institute signs on to letter with 20 other advocacy groups requesting extension of comment period for DOL proposed rule.
Institute Letter to SEC Calls for New Thinking on Disclosure
Plain language, testing and new technologies must be marshaled to battle systemic complexity in increased disclosure of Reg BI era.
New “Fiduciary Common Sense” guidance helps investors find fiduciary advisors
Introduction Part of the “After the Advisers Act” initiative that The Institute has launched is the creation of new tools to help investors “Find a Fiduciary.” These tools can be used by fee-only, fiduciary advisory firms, and advisor advocacy groups, to promote why it is vital that investors choose to work with a fiduciary. E-Book […]
After the Advisers Act: What the New SEC and CFP Board Standards Mean for Investors
Two articles and a webinar speak to how the SECs’ and CFP Boards’ new standards depart from the Advisers Act of 1940.
Tamar Frankel Paper: “The Regulators’ Conflicts of Interest”
Tamar Frankel, Professor Law Emerita at Boston University, published a hugely important criticism of SEC’s Reg BI.
