Congress begins to discuss ESG and whether regulatory action should begin, but there is still contention within the house
Advisor News
Attorney August Iorio (I) and Law Professor Ben Edwards Spoke on Reg BI
Two years after Regulation Best Interest critics speak out and urge more change addressing conflicts of interest.
SEC Takes First Substantive Reg BI Enforcement Action
The SEC has issued a Regulation Best Interest ruling against a brokerage and five registered representatives
Advice-Only Fees Gain Traction as Advisors Opt Out of Managing Client Portfolios
Industry Leaders remark on recent popularity of separating fee-only advising and investment management. Noting the advantages this change can have.
Whose Fiduciary Standard Are You Using?
Regulation Best Interest isn’t requiring financial advisors to adhere to a fiduciary standard like some might think.
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.
