FINRA Arb Panels Lack Diversity, Transparency: PIABA Study
"Diverse groups of people make better decisions," the investor lawyers' group says.
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.
In Election’s Wake: What Now for Advisors?
TDAI offers some insight to changes at SEC, key congressional committees and 401(k)s.
Scope of the Fiduciary Duty Owed by Investment Advisors
A fiduciary obligation goes beyond the suitability standard typically owed by registered representatives of broker-dealer firms to clients. The relationship is built on the premise that the advisor will always do the right thing for the person or entity receiving advice.
After FINRA Office Alters Files, SEC Orders SRO to Change Its Ways
Fed up with receiving altered documents--three times in eight years--the SEC ordered FINRA to hire an independent consultant to improve its procedures for producing documents during SEC inspections.
Revisiting Reg D
Our regular readers do a great job of ensuring I never am at a loss for timely column ideas.