Phyllis Borzi roundly criticizes the DOL class exemption that would allow retirement plan advisors to receive commissions.
Institute signs on to letter with 20 other advocacy groups requesting extension of comment period for DOL proposed rule.
Plain language, testing and new technologies must be marshaled to battle systemic complexity in increased disclosure of Reg BI era.
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. The […]
Two articles and a webinar speak to how the SECs’ and CFP Boards’ new standards depart from the Advisers Act of 1940.
Tamar Frankel, Professor Law Emerita at Boston University, published a hugely important criticism of SEC’s Reg BI.