Industry Leaders remark on recent popularity of separating fee-only advising and investment management. Noting the advantages this change can have.
Institute: Does March 30th SEC Staff Opinion Effectively Eliminate The Word “Fiduciary” from Form CRS?
Industry experts say that new “conditions” make it not possible to plausibly and meaningfully tell investors the truth about investment advisors’ fiduciary status
Whose Fiduciary Standard Are You Using?
Regulation Best Interest isn’t requiring financial advisors to adhere to a fiduciary standard like some might think.
Leading Consumer and Investor Advocates Urge DOL to Act on Fiduciary Rule Update
Industry Leaders urge the Department of Labor (DOL) to act on rules governing retirement investment advice.
Is Reg BI Working? It Depends On How You Read FINRA’s Report
Now that the broker standard of conduct has been in force for 20 months, the debate over its effectiveness is intensifying.
Briefing on FINRA’s Feb 9 Report on Examinations
Industry scholars discuss the recent FINRA report on Reg BI and Form CRS, based on FINRA’s own exams revealing significant shortfalls.
