Luis Aguilar, (left) Advisor to the Institute, will speak Sept 22 on the panel for The 2022 Frankel Prize honoree, Arthur Laby.
Blog
Sharp exchanges at hearing illuminate debate on SEC’s oversight of ESG
Congress begins to discuss ESG and whether regulatory action should begin, but there is still contention within the house
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
