Fiduciary standard

By allowing disciplinary actions to be expunged from certificants’ records, the board is sabotaging its own efforts to raise industry standards.

New Chairwoman Susan John says the board is preparing for more cases due to its new standards and code of conduct.

The growing number of independent financial advisors could spell trouble for traditional RIAs, says the head of the national advisory firm.

The planner is among the brightest minds in the financial planning profession, but his endorsement of the organization's certification standards is "decidedly enigmatic."

In this circus of an industry, what chance does an average investor have of finding somebody who will actually work on his or her behalf?

A uniform fiduciary standard is only way to ensure all advisors are putting their clients first, the Democratic senator says.

The chairman looks to finalize Reg BI while issuing warnings for advisors on cybersecurity, Brexit and Libor transition.

The firm is changing course in response to a shifting regulatory landscape and advisor feedback.

The board is calling for public comment on a variety of changes and released FAQs for planners about new standards of conduct taking effect next year.

Why new rules won’t necessarily prevent bad behavior.

The regulator's investor advisory committee approved a set of recommendations for commission to clarify "best interest" advice for advisors and brokers.

New York legislators are set to reconsider a previously stalled fiduciary bill.

Noting how retirement saving has changed, the executive says the “responsibility we have for people’s savings is awesome.”

It’s another example of how impactful an update to broker standards of conduct could be.

NAPFA’s chairman sees an “untapped market” opening up.

Observers expect only modest changes from comment letters, and look ahead to a vote to enact new advisor and broker regulations.

In my view, the organization puts its own growth ahead of enforcing its certificants’ fiduciary standards. This holds us back from being seen as a true profession.

The firm announced last week that it would reinstate traditional brokerage for retirement accounts in October, giving new life to the conflicts it had eliminated.

Here's what I've realized since I penned my original missive to the commission.

Clashes over the Labor Department's fiduciary rule have carried over into the debate on the SEC's proposed regulation.