SEC Wants Big Form ADV Changes
The SEC has approved a plan to require advisors to provide more data on separately managed accounts, branch offices and social media on Form ADV.
The SEC Is Broken
A decades-old law and the origin of new commissioners stymies consensus building and rulemaking at the Securities and Exchange Commission.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
Likely on Its Way: Greater Compliance Burden for Advisors
A little historical perspective on investment advisor registration: past is prologue.
A PRECARIOUS PERCH?
The Prudent Man Rule has been deeply grounded in the advisory framework since 1830, and the basic wording of the Investment Advisers Act hasn't changed...