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.
Hey SEC, Please Clarify Fiduciary Duty So I Can Enjoy College Hoops Again!
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.”
