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Must Reads

Important articles on the fiduciary standard.  Visit our Must Reads archive page to read older articles.

Clayton slims down SEC agenda, looks for more wins

The SEC is on track to finalize its standards of conduct for investment advisors and brokers next year, Chairman Jay Clayton indicated on Wednesday, calling those rules “a very important and long overdue initiative.”

Reg BI Still Looms Over Brokers … One State at a Time

Individuals familiar with the progress of the Reg BI rulemaking say the rule is expected to be completed next year, potentially before a September 2019 final action date posted with the database of the Office of Information and Regulatory Affairs within the Office of Management and Budget.

Fiduciary Doings

Tamar Frankel and Phyllis Borzi

 

The Institute organized a meeting to discuss common interests on Reg BI, the states and advocacy on January 16 in Washington. 22 leaders from nine advisor and consumer advocacy organizations attended.

Here, Phyllis Borzi (left) and Tamar Frankel, Institute Board of Advisor members, are seen readying to depart an Institute dinner, the evening before, where they led discussions.

 

Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members

 

Fiduciary Institute colors fly at CFA Institute conference. Clark Blackman (left) and Chris Cannon, Real Fiduciary Practices Board members, wear their 'Fiduciaries Rock' hats at the CFA event in Fort Lauderdale.