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Instead of harmonizing standards of client care across the industry, it may be better to re-differentiate them in light of the fiduciary rule's recent court loss.
March 22Institute for the Fiduciary Standard -
After a federal appeals court strikes down the fiduciary rule, a legal path forward seems uncertain, but the regulation has already made its mark.
March 20 -
Merrill Lynch, UBS and others made considerable alterations to policies and procedures in order to be compliant with the Labor Department regulation.
March 19 -
The Department of Labor has an incentive to defend its rule-making authority even though it is considering revisions to the regulation.
March 16 -
A federal court has struck down the rule and the industry’s top online advice executives are speaking out.
March 16 -
Focus turns to the SEC as it considers creating its own higher standard of client care.
March 15 -
With the SEC and Labor Department rethinking their approach to a higher standard, a court's recent ruling may not have a lasting impact.
March 14 -
The new law will affect how financial advisors and clients evaluate the pros and cons.
January 23 -
"Maybe commissions aren’t so evil after all?"
December 20Mark Elzweig Co. -
The industry has resisted the SEC’s Consolidated Audit Trail surveillance system ― dubbed CAT ― in its current form based on cybersecurity concerns.
December 13