The SEC’s new Regulation Best Interest will give financial institutions a legal advantage when they’re sued by investors.
Until Reg BI enforcement starts, we’ll have to take brokers’ word it’s working
Or you can rely on state securities regulators to provide data about advice reform.
Ex-Obama DOL official Phyllis Borzi, the ‘Godmother’ of ERISA, Speaks on Current DOL Rule
The Trump administration is trying to wave a magic wand, and it’s going to work, but it may make matters worse for the pro-suitability lobby if Joe Biden becomes President
Four Distinguished Law Professors Discuss 2020 Financial Advice Landscape
Four leading law professors shared their views on recent developments for financial advice in 2020.
Mourning the Passing of the 40 Act
The 40 Act has been effectively repealed. But its passing has gone unnoticed. In the long shadow of the market crash and severe depression, the 40 Act was the equivalent of investors’ civil rights legislation.
Fiduciary Advocates to Discuss DOL Hearing at 3:30 PM on Thursday
Immediately after the DOL Hearing on September 3rd, the Institute is hosting a panel discussion on it with fiduciary leaders.