RIAs
DOL Releases Fiduciary Rule Guidance
By Melanie WaddellThe department has released FAQs for investment professionals and investors.
July 10, 2019
Is There Magic in the Term 'Fiduciary'?Two SEC officials, including Investment Management Director Dalia Blass, have differing opinions on this question.
June 27, 2019
A Timeline of the Contentious Fiduciary RulesThe SEC's Regulation Best Interest was born out of a years-long struggle to regulate brokers as fiduciaries.
June 04, 2019
DOL's New Fiduciary Rule Will Align With SEC Reg BI: RutledgeLabor's rule will align with the SEC's in order to mitigate confusion, the EBSA head said.
May 07, 2019
Raymond James CEO Opposes State Fiduciary StandardsPaul Reilly explained how regulatory pressures—and state fiduciary laws in particular—are advisors' biggest concerns.
June 13, 2016
Tony Robbins Defends Fiduciary Standard, Role as Financial Educator at Creative PlanningRobbins and Creative Plannings CIO Peter Mallouk define Robbins role as Chief of Investor Psychology; what it means for clients and advisors.