The future of investor protection hinges largely on who wins the next Presidential election.
Advisor News
It’s legal to give bad financial advice. New SEC protections may not help much
CNBC profiles the impact of Reg BI on sales, advice, and investors themselves.
How a Biden Win in November Reshapes Investment Advice Rules
Democrats scraping the Trump administration’s reforms hinges on who’s picked to lead the SEC
Massachusetts Starts Enforcing Its Fiduciary Rule
Industry stakeholders are now looking to Massachusetts to see how aggressively the state enforces the rule and gain insight into how other states may follow suit.
Democrats Oppose DOL Investment Advice Rules as Convention Begins
The Democratic VP, Kamala Harris, co-signed an Aug 6th letter criticizing the DOL proposal.
Former regulator Borzi takes on Reg BI and the DOL exemption
Phyllis Borzi roundly criticizes the DOL class exemption that would allow retirement plan advisors to receive commissions.
