Mark Schoeff, Jr. was watching his alma mater play a crucial conference game when a commercial from a financial firm sparked a debate on fiduciary duty.
Professor Emerita, Tamar Frankel, Urges SEC Chairman Gensler: Make it clear RIAs can say ‘We are fiduciaries’ on CRS!
Professor of Law Emerita Tamar Frankel penned a letter to SEC Chairman Gensler. The message: RIA confusion on Form CRS is “astounding.”
Advisor Trade Group Wants SEC To Tell RIAs They Can Call Themselves Fiduciaries
The Institute sent SEC Chairman Gensler a letter urging the agency to clarify confusion surrounding advisors using the word fiduciary in Form CRS.
Jason Zweig, The Wall Street Journal: Traders vs. Investors, “Conflict-Free” Advice & Investing Heroes
Investors First Podcast hosts Steve Curley and Chris Cannon interview Jason Zweig, longtime “Intelligent Investor” columnist at the Wall Street Journal.
SEC Highlights Form CRS Issues as Fiduciary, Language Experts Call for Deeper Change
An SEC committee is calling out firms over form CRS disclosure inadequacies. Yet fiduciary and plain-language experts believe the SEC’s “call outs” miss the mark.
Is SEC Telling Advisors Not To Call Themselves Fiduciaries In Relationship Summaries?
RIAs and their compliance executives are worrying that the SEC is muddying the waters more for consumers by making all financial professionals look the same.
