Industry scholars discuss the recent FINRA report on Reg BI and Form CRS, based on FINRA’s own exams revealing significant shortfalls.
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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.”
CFPB Rejects Supreme Court on Advice
A recent CFPB paper tries to say that conflicts are okay. It fails.
Advisor Trade Group Wants SEC To Tell RIAs They Can Call Themselves Fiduciaries
The Institute sent SEC Chairman Gensler a letter urging the agency to clarify confusion surrounding advisors using the word fiduciary in Form CRS.
Jason Zweig, The Wall Street Journal: Traders vs. Investors, “Conflict-Free” Advice & Investing Heroes
Investors First Podcast hosts Steve Curley and Chris Cannon interview Jason Zweig, longtime “Intelligent Investor” columnist at the Wall Street Journal.
