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The regulator’s move follows a Financial Planning investigation into whistleblowing by former JPMorgan financial advisor Johnny Burris.9h ago
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Alternative compensation structures may provide more consumer protection, and drive higher client satisfaction.September 16
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The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.September 10
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They’re grinding forward with changes, even as complicating factors emerge ahead of when the rule takes effect next year.September 10
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Elias Herbert Hafen, “every client’s worst nightmare,” could face years in jail. The wirehouse says it is repaying clients.September 9
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Even though many of its members weren’t satisfied by the SEC’s rule, NASAA praises the inclusion of a requirement to consider costs in a recommendation.September 9
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The SEC published more than 1,300 pages of regulatory information. Here's what advisors need to know.September 3
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To stand apart from broker-dealers, advisors may not need tougher rules, but smarter marketing.August 16
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Reports of the death of fiduciary differentiation have been greatly exaggerated, contends fiduciary advocate Knut Rostad.August 12
PresidentInstitute for the Fiduciary Standard
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The SEC rule was based on a flawed assumption and fell far short of what it promised. As a result, states are forging ahead with their own fiduciary rules.August 5
DirectorSecurities Arbitration Clinic at the Law School of St. John's University
