SEC
Get the latest news and insights on the Securities and Exchange Commission's' financial regulations (such as Regulation Best Interest), enforcement actions and related activities.
The 'cost' of fiduciary: The wacky folks at NAIFA are at it again
By Bob ClarkId like to give a special shout out to my main men at NAIFA for their ongoing efforts to keep me from getting bored.
July 08, 2013
Brokers willing to pay up for fiduciary standard: SIFMABroker-dealers with fiduciary accounts see stronger asset growth; Schwab says RIAs must beware of harmonization.
July 08, 2013
Brokers Willing to Pay Up for Fiduciary Standard: SIFMAIn a clash of studies, SIFMA put the compliance price tag at $8 million, while the Financial Planning Coalition said fiduciary accounts would be more boon than burden for brokers.
July 05, 2013
SEC gets an earful from advisors on fiduciary standardComments to the SEC from individual advisors yes, most of them RIAs call for one standardized fiduciary duty for all.
July 05, 2013
SEC gets an earful from advisors on fiduciary standardComments to the SEC from individual advisors yes, most of them RIAs call for one standardized fiduciary duty for all.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC nabs advisors in Georgia, MichiganA father/son advisor team has been charged in connection with a $2 million stock-trading scheme that victimized their senior clients.
July 05, 2013
SEC Gets an Earful From Advisors on Fiduciary StandardComments to the SEC from individual advisorsyes, most of them RIAscall for one standardized fiduciary duty for all. Even Vanguard founder John Bogle weighed in.