Industry Leaders urge the Department of Labor (DOL) to act on rules governing retirement investment advice.
Blog
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.
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.
