SEC Fiduciary Duty

Those investors who use financial professionals actually expect more from a “best interest” standard than those that don’t.   This is “one striking and unexpected” ...

New Jersey became the latest state to consider its own fiduciary duty standard last year. IA Watch has obtained the 61 comments sent to the ...

Next year promises to be a monumental one for investment advisers and broker-dealers. The SEC has released its regulatory calendar and it states the Commission’s ...

If a legal action were a prize fight, the advisers would have lost in a knockout. A Kentucky judge has dismissed all claims by a ...

The near-term agenda for completion in 2019 is now publicly available.[22] Continuing with the themes of transparency, accountability and clarity of mission, the “Reg Flex” ...

The SEC’s Office of the Investor Advocate engaged the RAND Corporation to conduct a nationwide survey and qualitative interviews of investors to gather feedback on ...

When does a fiduciary become a fiduciary? That question is at the essence of a lawsuit in Kentucky that could be thrown out before it ...

Broker-dealers and investment advisers are different, and their compensation models are different. One investor may find the services and fees of a broker-dealer a ...

Agreement over a uniform fiduciary duty standard is as rare as snow in October but one consensus seems to be that the industry has adopted ...

While there’s not an official rule proposal yet, New Jersey Oct. 15 announced a comment period (ending Dec. 14th) for a possible fiduciary duty standard ...