“In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.”
Important articles on the fiduciary standard. Visit our Must Reads archive page to read older articles.
FINRA will be responsible for examining brokers for compliance, yet FINRA CEO says ‘It’s not our rule. It’s an SEC rule.’
The SEC’s new investor education videos are criticized for glossing over important details of business models and conflicts.
The New York Supreme Court has upheld the state’s contentious fiduciary rule governing annuities and lift insurance sales practices.
The Certified Financial Planner (CFP) Board doesn’t inform website users about thousands of planners with customer complaints, regulatory skirmishes and other problems, including bankruptcy filings.
BD lobbyists claim fiduciary rules harm investors while AARP members call for New Jersey to proceed with its own rule.