Professor of Law Emerita Tamar Frankel penned a letter to SEC Chairman Gensler. The message: RIA confusion on Form CRS is “astounding.”
Blog
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.
SEC Highlights Form CRS Issues as Fiduciary, Language Experts Call for Deeper Change
An SEC committee is calling out firms over form CRS disclosure inadequacies. Yet fiduciary and plain-language experts believe the SEC’s “call outs” miss the mark.
Most Advisors Don’t Disclose Fiduciary Status On Forms – That’s A Big Deal
Form CRS is designed to show broker-dealer and RIA differences. Samples of forms, however, show they fall way short of the clear guidance clients need. Knut argues for clearer regulatory guidance.
