A number of former regulators and current policy experts asked the Securities and Exchange Commission today to revise Form CRS.
Advisor News
Fiduciary Rule’s Third Iteration Could Come with Sharp Regulatory Teeth
The Department of Labor is re-evaluating the fiduciary rule for the third time. This time, it could have teeth.
Investor Advocates Urge DOL To ‘Fix’ Retirement Plan Advisor Rule
Investor advocates, including the CFA, PIABA, and Ron Rhoades, sent a comment letter in opposition of the DOL’s advice rule.
What Is a Fiduciary Financial Advisor?
Why do so many consumers stumble when asked how brokers and fiduciary advisers differ but can recite blindfolded how a butcher and nutritionist differ? Clue: It’s not “investor confusion.”
‘Reg BI’? Instead, How Does ‘New Suitability’ Sound?
Institute leaders want the SEC to ensure retail investors understand when they are not working with fiduciaries.
Difference Between a Broker and an Advisor
Darren Fogarty, Employee Benefits Advisor at Wincline, describes the differences between brokers and fee-only advisors.
