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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. -
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
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The decision does not diminish the board's conviction that consumers have a right to know how they are paying for products and services, writes the former board chairwoman.March 6
Financial planner, former CFP Board chairwoman.
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“The only reason why I could see them doing that is shame,” one critic says of the move; the board calls it an important shift in the conversation about fiduciary care.March 5
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The commission “failed to enact a meaningful conduct rule,” state regulator William Galvin says.February 21
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The SEC examined approximately 2,180 RIAs in 2019.January 16
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Trade groups warn that a proposal could end commissions in the state and play into a "fractured" regulatory environment nationwide.January 15
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SEC-mandated disclosures for dual registrants could put clients off brokerage options, some suggest.January 8
