Innovative fee models are challenging the 1% assets-under-management fee that has traditionally dominated the investment advisory world.
The SEC has been intense about ESG and wait-and-see on Reg BI. But investor advocates are optimistic about the “most investor-centric commission in 20 years.”
A broker-dealer has been fined by the SEC after allegedly failing to disclose its conflicts of interests.
Investor protection advocates want the Securities and Exchange Commission to revisit and revise its Form CRS.
The Institute proposed a redesigned Form CRS, which provides a side-by-side comparison of advisers and brokers.
A number of former regulators and current policy experts asked the Securities and Exchange Commission today to revise Form CRS.