by Knut A. Rostad and Darren M. Fogarty — New insights into retail investor, financial reps misunderstandings of brokers and advisers.
Blog
Vanguard doesn’t get a free pass on this one
By Bob Veres, October 22, 2018 FinancialPlanning.com After Vanguard CEO Tim Buckley gave his startling keynote address at the Inside ETF’s conference in January (sole diamond sponsor: Vanguard), I received at least 30 email messages from advisors. Buckley’s words were certainly alarming: He said that Vanguard plans to attack financial planning and investment advice fees the […]
Leadership through Fiduciary Program
The Institute puts on a day-long program at the NAPFA Fall conference on the practices that differentiate fiduciary, fee-only advisors from sales brokers. Read more about the 2018 program here.
The SEC Isn’t Giving Us Straight Talk
If passed, the SEC’s 125,993-word proposed Reg Best Interest (“Reg BI”) will harm investors and greatly change the competitive landscape for brokers and advisors.
SEC Investor Roundtables Reveal Investors Often Do Not Understand Form CRS
The SEC’s own Investor Roundtables clearly demonstrate that not even well-educated professionals can understand Form CRS.
Regulation Best Interest – A Junk Food Diet
Putting choice ahead of professional conduct, the RBI buffet embraces the junk food Mr. Cohn champions.
