-
The rule can only be effective if the investing public accurately understands its implications, says the firms’ chief platform officer.
June 12 -
It could be the most significant update to advisor standards of conduct in years.
May 24 -
With brokerage firms lining up in support of the SEC proposal, fiduciary planners aim to keep their differences from the BD channel intact.
May 17 -
The rule requires greater public input, an industry trade group says.
May 17 -
As New Jersey’s regulators move forward, trade groups and executives warn of increasing compliance costs.
May 3 -
The move suggests that the SEC’s proposed Regulation Best Interest isn’t strong enough for some.
April 16 -
Advisors and trade groups resist a patchwork of regulations, saying it would limit consumer choice and increase firms’ expenses.
March 28 -
Warnings from the brokerage sector as Nevada advances a uniform fiduciary rule have a familiar ring.
March 20 -
Even as Nevada, Maryland and New Jersey press ahead with their own proposals, the IAA seeks exemption for SEC-registered advisors.
March 1 -