The SEC Investor Advocate’s View Askew: The Illusion of Fee Disclosure
What’s missing in the SEC report are the costs to investors of recommendations by “advisors” who do not have a fiduciary duty.
A Subtle Benefit of Being an Independent Advisor
With no manager expecting higher “production” as you research stocks or bonds, you can actually pick what’s best for those clients.
In New Fiduciary World, Should Governance of the CFP Board Be Tweaked?
A veteran planner who spent quality time on the CFP Board and FINRA arb boards suggests CFPs themselves should control the direction of the profession.
After the DOL Fiduciary Rule, Enter the Fee-Based Variable Annuity
The long-suffering product class may be ripe for a comeback as hefty VA commissions are frowned upon under the DOL rule.
Perez Shrugs Off DOL Fiduciary Rule Lawsuits, Vows Continued Outreach to Industry
“Some folks in the industry want a Best Interest Rule as long as it’s not enforceable,” the Labor secretary said.
Celebrate July 4 — and Speak Out for Fiduciaries
Enjoy the barbecue, and also vow to speak out and help ensure industry lobbyists don’t become the public face of fiduciary advisors.
Professionals and Conflicts of Interest: Not Hard to Gauge
Here’s why professionals (and their clients) need standards of ethical conduct that address the proper handling of conflicts of interest.
DOL Fiduciary Rule May Need Some Tweaks: Borzi
DOL won't make big changes but will clarify some matters with additional guidance, says the rule's main architect, Phyllis Borzi.
SIFMA Roiled by Split Over DOL Fiduciary Suit by Wirehouses, Smaller Firms
Large broker-dealers favored compliance over fighting DOL; Wells Fargo, Morgan Stanley said to have opposed court battle.
Ric Edelman Schools the Brokerage Industry
Rather than filing lawsuits, why doesn't the brokerage industry transition its business to put clients' interests first?