Regulation Best Interest

The fact that it’s impossible to track the amount of revenue sharing kickbacks demonstrates the problem, says the research firm’s lead policy wonk.

While technology has expanded the toolkit for advisors, some still struggle to differentiate their offerings.

The changes follow the firm’s recent move to cut some client fees on separately managed accounts.

CFPs aren’t excused from acting as fiduciaries — even if they work at a firm that requires them to recommend proprietary funds.

In five bite-sized offerings, Chairman Jay Clayton fails to tell the public what it needs to know about RIAs vs. brokers.

A task force will issue recommendations to shore up the disciplinary process ahead of the board's November meeting. Here’s what advisors need to know.

The rule unfairly gives brokers a leg up in the marketplace, harming the network’s 1,000 independent advisors, the firm claims.

They’re grinding forward with changes, even as complicating factors emerge ahead of when the rule takes effect next year.

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.