Congress begins to discuss ESG and whether regulatory action should begin, but there is still contention within the house
Blog
Polarization and the State of Advice
Dick Wagner (above) wrote for 30 years why the future of advice and planning is bright. That is, if leaders step up to make it so.
Attorney August Iorio (I) and Law Professor Ben Edwards Spoke on Reg BI
Two years after Regulation Best Interest critics speak out and urge more change addressing conflicts of interest.
Reg BI’s Unhappy Second Birthday
Regulation BI turns 2 on June 30th. What’s to celebrate is not clear. No one seems to support it except those paid to. There is much to question.
SEC Takes First Substantive Reg BI Enforcement Action
The SEC has issued a Regulation Best Interest ruling against a brokerage and five registered representatives
Leadership and Character on Memorial Day
Memorial Day honors those who died for our country. Remembering their service is an American tradition. Noting how character development drives officer training should become a tradition in finance.
