Democrats scraping the Trump administration’s reforms hinges on who’s picked to lead the SEC
Important articles on the fiduciary standard. Visit our Must Reads archive page to read older articles.
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.
SEC, CFP Board Accused Of Blurring Lines Between Advisors And Brokers As Board Reacts
The Institute contends in a new whitepaper that SEC and CFP Board rules will sweep away key principles of the Advisers Act.
WealthManagement.com: Coronavirus Puts a Premium on Honest and Plain Talk from Advisors
Advisors who communicate quickly, openly and honestly … will come out in a stronger position.