Knut Rostad praised the Maryland (fiduciary) bill, saying it would provide better investor protection than the SEC proposal.
As states clash with feds over fiduciary, regulation jitters rise
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First the Labor Department’s fiduciary rule collapsed. Then the SEC proposed Regulation Best Interest, a new broker regulation that left many investor advocates wanting more.
NASAA Goes To Capitol Hill Pushing Tougher SEC Regs On Brokers
The North American Securities Administrators Association is escalating its call for tougher broker sales regulation, scheduling a Capitol Hill briefing for lawmakers, regulators and the media on March 5.
Why Should I Care if My Financial Advisor is a Fiduciary?
Why should you as an investor care if your financial advisor is a fiduciary? Here are some thoughts on this for those looking for a financial advisor or who are already working with one.
Getting to Trust
Last week two RIA leaders made important remarks illustrating the public’s distrust of financial services.
Maryland bill would impose fiduciary duty on brokers, insurance reps
New Maryland bill would require financial professionals to act ‘without regard to’ their own financial gains
