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Many financial advisors aren’t aware of serious conflicts of interest affecting the majority of retail clients, Northeastern University Professor Nicole Boyson says in a Financial Planning Podcast.May 19
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Firms are spending millions to comply with a controversial rule that is facing a legal challenge while state regulators push their own stringent regulations.April 27
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XY Planning Network and coalition of states are asking court to overturn advice regulation they say holds brokers to lesser standard.April 23
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Financial advisors choose technology the way cyclists pick out their rides, Riskalyze Managing Director for Enterprise Services Dana Rhodes explains in a Financial Planning podcast.April 21
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The firm detailed its strategy for complying with the SEC’s regulation ahead of its June 30 enforcement date.April 16
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Despite coronavirus, exams on new regulatory package are going to start, the commission says in new risk alerts.April 9
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To hear some regulators tell it, “commission” is code for churning — but the fee-based vogue gives rise to reverse charges, writes Mark Elzweig.March 24
PresidentMark Elzweig Co.
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Regulatory relief applies to advisors and investment funds but the commission stresses that fiduciary obligations still apply.March 19
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Guidance on new advice rules coming this month as OCIE and enforcement divisions struggle to expand oversight with limited resources.March 9
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Restoring fee-model disclosures to its website is just the first step in correcting the organization’s “monumental failure,” according to fiduciary watchdog Ron Rhoades.March 9
CFP and professor at Western Kentucky University
