FINRA will be responsible for examining brokers for compliance, yet FINRA CEO says ‘It’s not our rule. It’s an SEC rule.’
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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.
A change in the White House in 2020 could result in a reversal of new SEC advice reform rules, just as the last presidential transition left the DOL fiduciary rule dead.