Rather than championing the mantra of “investor confusion,” the SEC should do as CFA Institute did: Tell investors the truth on how brokers and advisers differ.
Knut's Views
Is Financial Planning a Profession? Does it Matter?
Skip Schweiss wants planners and consumers to know financial planning is not yet a profession.
Gary Gensler: Joe Biden’s Joseph P. Kennedy
If Gensler, who is uniquely well-suited for the task, becomes the SEC chairperson, it will harken back to the SEC’s origins.
SEC Holiday Cheer for Investors
A year-end SEC order and statement by its staff on Reg BI exams are a positive signal for investors in need of fiduciary protection.
In Praise of Janet Yellen
Yellen checks many boxes – her scholarship, prior government experience and reputation in Washington.
Students Worry About Being Corrupted on Wall Street
Knut Rostad summarizes his recent interview with Princeton lecturer JC de Swaan on virtue in finance.
