What Will it Mean for Investors if the DOL Rescinds its Fiduciary Rule?
Trump administration delays implementation of new fiduciary rule to review potential effect on investors’ access to retirement information and financial advice
View ArticleDOL Ruling Simplifies Compliance with Fiduciary Rule, But Still Protects...
The DOL provide some clarity to the investment industry about its obligations while providing protection to retirement investors through a best interest standard. Categories: Fiduciary Duty
View ArticleDOL Extends Compliance Dates for Fiduciary Rule (Again!)
The timeline for when all investors can expect their best interest to be honored just got longer with another delay in the applicability of the DOL’s fiduciary rule.
View ArticleUS Treasury Report on Asset Management Affirms Position of CFA Institute
The asset management industry does not pose the same types of systemic risks to the economy as the banking industry does, and the US Treasury agrees.
View ArticleThe Makings of a Financial Crisis
Four tools may frame the analysis required to evaluate the likelihood of an impending crisis and that may provide us with a heads up before a financial crisis occurs.
View ArticleNo Third-Party Exams for Investment Advisers
The SEC does not intend to pursue the use of third-party examiners to conduct their investment adviser examinations.
View ArticleFiduciary Duty—CFA Institute Issues a Call for Action by SEC
CFA Institute urges three approaches that will clarify that only registered investment advisers can provide personalized investment advice, as well as clarify the role of broker-dealers.
View ArticleSEC Proposes New Conduct Rule for Broker/Dealers Offering Advice
As the US Department of Labor prepares to let its fiduciary duty rule die, the SEC recently proposed a new standard of conduct rule for broker/dealers who provide recommendations with respect to...
View ArticleSEC Proposes to Restrict Broker/Dealer Use of “Adviser” Title
If the SEC adopts a rule as proposed, broker/dealers will no longer be able to use the term “adviser” or “advisor” in their names or titles when marketing themselves to investors.
View ArticleFiduciary Duty Takes a Step Back: Industry Reacts to Death of DOL Rule
After the US Court of Appeals for the Fifth Circuit vacate the fiduciary standard, the brokerage industry lost no time in rolling back some of its policies specifically adopted in response to that rule.
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