Phyllis Borzi roundly criticizes the DOL class exemption that would allow retirement plan advisors to receive commissions.
Institute signs on to letter with 20 other advocacy groups requesting extension of comment period for DOL proposed rule.
Tamar Frankel, Professor Law Emerita at Boston University, published a hugely important criticism of SEC’s Reg BI.
The Institute submitted a comment letter to the Iowa Insurance Division on its proposed rulemaking in light of SEC’s Reg BI.
The Institute contends in a new whitepaper that SEC and CFP Board rules will sweep away key principles of the Advisers Act.
SEC staff to issue two “Risk Alerts” for further guidance.