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Articles tagged "fiduciary"


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New York Attorney General Barbara D. Underwood leading coalition

Posse of top cops from 17 states dresses down SEC, demand same fiduciary standards for broker-dealers and RIAs and cite other 'egregious' deficiencies in proposed son of DOL rule

Since the 5th Circuit Court of Appeals in March struck down the Department of Labor's (DOL)  embattled "fiduciary rule," broker-dealers have been operating with a virtual "get-out-of-jail-free" card

August 10, 2018 at 8:18 PM

Brent Burns: Advisors who take on a fiduciary role have a lot of branding work to do.

NAPFA conference hits hopeful note as members look to the future

Unfazed by venue change, advisors mixed, mingled, blogged and tweeted their way through the three-day meeting

May 25, 2011 at 1:50 PM

Ron Rhoades: It appears that relatively few investment strategies, as to the design of portfolios for individual clients, withstand academic scrutiny.

One-Man Think Tank: Would your investment strategy stand up in court?

Advisors should apply due diligence not only to products and suitability, but to their overall approach, says the new ADV form.

November 3, 2010 at 6:42 AM

If Congress passes financial reform, it only sets the stage for a new host of FINRA, SEC and DOL issues
May 14, 2010 at 5:38 AM

Ron Rhoades: Arguably, language in the Johnson Amendment provides the SEC with the authority to craft whatever rules it wants to.

Why the New York Times fiduciary article won't deter the special interests

Consumer-protection regulations rarely get stiffer in the legislative process

March 5, 2010 at 6:26 PM

Lou Harvey: The bigger impact is on IRAs, not 401ks. There are a heck of a lot more IRAs out there and advisers involved in IRAs.

IRA assets could be ripped from the grasp of brokers if DOL has its way

With brokers disqualified, fee-only advisors may have 'phenomenal' opportunity to dominate $4.1 trillion IRA market

March 4, 2010 at 6:47 AM

Bernie Madoff: Elie Wiesel trusted this solemn face and so did the heads of 150 foundations

Private foundations: Five steps to keep the next Bernie Madoff away from your assets

It's the process that matters; overly consistent returns are just one red flag

October 23, 2009 at 9:03 PM

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