Bogle Hailed as Warrior for the Common Investor
Michael Zeuner and Jim Patrick of Institute for the Fiduciary Standard remain optimistic, tying John Bogle's "investor first" approach to the fiduciary standard.
Reform Is Not Enough to Restore Trust in Wall St., Experts Say
Fiduciary advocate Knut Rostad, conservative think tank AEI and Wall Street lobbying group SIFMA discuss how to regain investor trust.
September Surprise: Fiduciary Supporters Lobby the SEC
With new leadership at the SEC, many questions remain unanswered about the Commission’s fiduciary rulemaking. Maybe we'll get some answers during Fiduciary September.
Rostad Kicks Off Fiduciary September
Knut Rostad, Vanguard founder John Bogle and other fiduciary advocates lead a month of lobbying and awareness raising.
Fiduciary Stumbling Blocks Surface
Several potential stumbling blocks have surfaced in the past couple of months that could stymie—or outright derail—release of fiduciary rules by the SEC and DOL.
SEC Fiduciary Rule Unlikely in Dodd-Frank’s Third Year of Life
Advisors, including Harold Evensky, and industry officials are increasingly pessimistic that the year will bring a uniform fiduciary rule. However, the first designation of an asset management firm as systemically important could be coming soon.
Dear SEC Chairwoman: About That Pesky Fiduciary Issue...
By taking its investor advocacy role seriously, the SEC will better “facilitate capital formation” that is “so important to our economy” by empowering investors to make better investment decisions.
Leading Questions: The SEC’s Request on Regulation of BDs, RIAs
Ever notice how the way some questions are worded can greatly affect the way they are answered?
Fiduciary in Name Only? Applying the Fiduciary Standard to Your Business
When RIAs commit unethical acts against clients, they are FINOs—Fiduciaries In Name Only. Here's how to apply the fiduciary standard not only to how you serve clients, but how you run your business.
RIA M&A Grew 30% in 2012, With Most Deals Done by Big Firms: Schwab
National acquiring firms, like HighTower, Focus Financial and United Capital, remained the dominant buyers, with 25 of the 45 total M&A deals, Schwab reports.