Raymond James, the New Borders Bookstore?
Fiduciary advocates need to reframe the battle: think "disruptive innovation," as has happened to book publishing and is happening to BDs.
Did March Mark a Tipping Point in Fiduciary Rulemaking?
The DOL displayed renewed energy on its fiduciary rulemaking, while the SEC signaled caution on its fiduciary standard, which may well be a good thing.
Is DOL Fiduciary a ‘Solution in Search of a Problem?’ Consider the Data
New study suggests that those searching for problems in 401(k) plans might need to look a little harder.
Why Advisors Should Watch Obama’s State of the Union Speech
For one thing, your clients (and prospects) may be watching. For another, it's important to understand how the truth gets twisted in Washington.
Harold and Fiduciary
We knew Harold Evensky has been a proponent of the fiduciary standard for advice givers for some time and that he was a leading light of the Institute for the Fiduciary Standard. So we asked the Institute’s co-founder, Knut Rostad, to comment on Evensky’s contributions.—Ed.
Is the Profession Really Concerned With Rebuilding Investor Trust?
A broader discussion of the trust imperative for the advisory profession—and the appropriate subsequent concrete actions—is needed, and advisors need to lead the way.
The State of Fiduciary After 1,640 Days: Time for a Reset?
Fiduciaries need to apply our risk analysis skills to what could be the most important regulatory action in decades: the SEC's fiduciary rulemaking.
SIFMA and Main Street Take Center Stage: Chet Helck's Legacy?
The Raymond James executive and SIFMA chairman's initiative on restoring investor trust couldn't be more important for Wall Street as well as investors.
5 Years On, Americans See Wall St. as ‘Foreign ... a Culture Apart’
A new study offers a complex picture of public opinion on the industry that neither fits conventional wisdom nor can fit on a bumper sticker.
65-Year-Old SEC Ruling Shines Clear Light on Fiduciary Standard
In the case of the dually registered Arlene Hughes in 1948, the SEC stated clearly what it means to be a fiduciary.