In addition changing Reg BI’s nomenclature, the Institute for the Fiduciary Standard called for many changes by the SEC.
Fiduciary Leaders Call on SEC to Repair Defects of Rulemakings and Interpretation to Restore Investor Trust
Major repairs to Reg BI, Form CRS and Adviser Act guidance are proposed to affirm broker and adviser differences and to level with investors
Gensler Expected to Put Teeth in Reg BI — Not Overturn it
Gensler has developed a reputation as a tough regulator who also was a successful leader on Wall Street.
Gary Gensler: Joe Biden’s Joseph P. Kennedy
If Gensler, who is uniquely well-suited for the task, becomes the SEC chairperson, it will harken back to the SEC’s origins.
SEC Holiday Cheer for Investors
A year-end SEC order and statement by its staff on Reg BI exams are a positive signal for investors in need of fiduciary protection.
Scholar Financial
Scholar Financial 1441 Riva Ridge Avenue Bowling Green, KY 42104 Telephone: 270-904-2728 Fax: 888-884-6291 ron@scholarfinancial.com Services Scholar Financial provides investment supervisory and financial planning services to individual clients, which may include areas such as cash flow and budgeting, education funding, retirement planning, risk management and estate planning. Scholar Financial’s Investment advice involves ongoing and continuous […]
