Regulation Best Interest isn’t requiring financial advisors to adhere to a fiduciary standard like some might think.
Advisor News
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.
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.
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.