Articles tagged "fiduciary"
Posse of top cops from 17 states dresses down SEC, demand same fiduciary standards for broker-dealers and RIAs and cite other 'egregious' deficiencies in proposed son of DOL rule
Since the 5th Circuit Court of Appeals in March struck down the Department of Labor's (DOL) embattled "fiduciary rule," broker-dealers have been operating with a virtual "get-out-of-jail-free" card
August 10, 2018 at 8:18 PM
NAPFA conference hits hopeful note as members look to the future
Unfazed by venue change, advisors mixed, mingled, blogged and tweeted their way through the three-day meeting
May 25, 2011 at 1:50 PM
One-Man Think Tank: Would your investment strategy stand up in court?
Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.
November 3, 2010 at 6:42 AM
Regulatory Wire (Updated): To create a successful new regulatory regime, the biggest fears of both broker-dealers and advisors must be assuaged
Plus, a DOL administrator offers hints of new 401(k) regulations to come this fall
May 14, 2010 at 5:38 AM
Why the New York Times fiduciary article won't deter the special interests
Consumer-protection regulations rarely get stiffer in the legislative process
March 5, 2010 at 6:26 PM
IRA assets could be ripped from the grasp of brokers if DOL has its way
With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market
March 4, 2010 at 6:47 AM
Private foundations: Five steps to keep the next Bernie Madoff away from your assets
It's the process that matters; overly consistent returns are just one red flag