Lauren Hong of Out and About speaks with Knut on the origin of the Institute, starting with support from Jack Bogle and Tamar Frankel.
Blog
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.
SEC Charts New Strategy for a Best Interest Standard
The SEC’s new strategy to raise best interest is becoming apparent.
FINRA’s “Olympic” Disgrace: Its Reg BI Report
Failures of the FINRA report parallel recent Olympic controversies.
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.