Smith-Goldman: A Poignant Case Study on the Fiduciary Debate
The duality of our regulations significantly contributes to a dangerous, often confusing state of affairs. Unless we restore trust, the system will rely on more regulations as a substitute.
Top 4 Dodd-Frank Concerns as Law Enters Second Year
For advisors, four issues will take the spotlight as the Dodd-Frank reform bill enters its second year—fiduciary duty, an SRO for advisors, harmonization, and adequate funding for the SEC.