Results for "fiduciary"

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From those who set the standards, much is expected

August 17, 2019

As it states on its website,​ "the mission of the Certified Financial Planner Board of Standards Inc. is to benefit the public by granting the CFP certification and upholding it as the recognized standard of excellence for competent and ethical...

SEC clears up confusion over whether advisers can continue to call themselves fiduciaries

June 20, 2019

Investment advisers are free to describe themselves as fiduciaries and to market that standard of care to clients, despite a prohibition on the term in one part of a new Securities and Exchange Commission disclosure form. In its recently approved...

Funding for Reg BI, other SEC advice reform efforts denied in Waters amendment

June 25, 2019

The House of Representatives is likely to approve this week legislation written by House Financial Services Committee chairwoman Maxine Waters, D-Calif., that effectively would kill the Securities and Exchange Commission's investment advice...

How much will costs of products and accounts factor into Reg BI?

June 14, 2019

A recently approved Securities and Exchange Commission advice reform package seems to be of two minds about what emphasis brokers should put on the costs of their recommendations. Language was added to the final Regulation Best Interest, which...

New Jersey fiduciary rule: Pressure leads to public hearing, comment deadline extension

June 17, 2019

Under fire from critics, New Jersey has scheduled a public hearing and extended a deadline for public comment on a proposal that would impose a fiduciary duty on anyone giving investment advice, including brokers. The all-day hearing on July...

SEC's Reg BI strengthens investor protections

February 14, 2019

Each day, America's financial advisers go to work in communities across the country to help their neighbors develop plans to save for retirement, send their kids to college, buy a house, or meet other financial and family goals. In this business,...

Is Reg BI headed for the courts?

February 22, 2019

Opponents of the Labor Department's fiduciary rule killed it last year in the courtroom. Those set to fight the Securities and Exchange Commission's coming advice reform regulation might also brandish the legal sword to see if it cuts both ways....

Brokers face heavy lift to implement Reg BI by next year

June 7, 2019

The clock is ticking for brokers-dealers to modify their operations to comply with advice reform regulations approved earlier this week by the Securities and Exchange Commission. The implementation deadline is June 30, 2020. But those 12 months...

Advisers, experts either hate SEC advice reforms or love them

June 6, 2019

It may take years to determine whether investment advice reform regulations approved by the Securities and Exchange Commission this week will better protect investors from conflicted advice, but that's not stopping advisers and others from offering...

Investor advocates slam SEC advice reform on eve of Reg BI vote

June 4, 2019

Investor and consumer advocates slammed a Securities and Exchange Commission investment advice reform package Tuesday, the eve of a final vote on the regulations. The Public Investors Arbitration Bar Association, the Consumer Federation of America...

Jack Bogle: Capitalist rock star

January 23, 2019

Jack Bogle richly deserves the huge accolades he's receiving. Actually, he may deserve more. Vanguard's low-cost index funds improved the bottom lines of tens of millions. Vanguard's annual reports and Mr. Bogle's books and lectures raised investors'...

SEC final advice rule hearing updates

June 5, 2019

The following is a string of dispatches from the SEC hearing on its final rule on advice standards for brokers and financial advisers. Check back regularly for the latest updates. 12:10 p.m. ET: SEC APPROVES ALL FOUR RULES IN ADVICE REFORM PACKAGE...

SEC releases new details on investment advice reform package

June 5, 2019

The Securities and Exchange Commission released a fact sheet Wednesday on a final package of regulations​ that will make the most significant changes to investment advice standards in more than two decades. The centerpiece of the reform package...

SEC reforms impose new requirements on brokers and advisers, but some argue not enough

June 5, 2019

The Securities and Exchange Commission's long-awaited investment advice reforms, which were approved Wednesday in a 3-1 vote, are virtually unchanged from an original proposal. The reforms set new standards for brokers and slightly change rules...

What to look for in the final SEC advice rule

June 3, 2019

The Securities and Exchange Commission will meet Wednesday to vote on a final investment advice reform package of rules. More than a year after the original proposal was released, the agency is now ready to conclude its work on Regulation Best...

SEC sets June 5 date for vote on Regulation Best Interest

May 23, 2019

The Securities and Exchange Commission will vote on an investment-advice reform package on June 5. The agency posted the agenda for the open meeting on its website Thursday afternoon. The four SEC members will decide whether to adopt Regulation...

Brokerages sound off on Regulation Best Interest

May 17, 2019

An executive at a small brokerage firm expressed concern Friday that the Securities and Exchange Commission's pending advice-reform rule is too vague and could lead to an exclusive focus on the price of investments. The centerpiece of the package...

SEC commissioner Hester Peirce says Reg BI is stronger than fiduciary duty

May 8, 2019

Members of the Securities and Exchange Commission have defended their agency's forthcoming final advice-reform rule in exchanges over the last couple days. SEC commissioner Hester Peirce said the proposal to raise advice requirements for brokers...

The pros and cons of state fiduciary rules

June 22, 2019

Just as one state this month announced its intention to pursue a fiduciary rule, another postponed its efforts amid industry pushback. It's been a series of starts and stops in states since threats to the Labor Department's fiduciary rule for...

Time for SEC to take fiduciary baton from DOL

January 2, 2018

With the core of the DOL fiduciary rule in place and the rest of it delayed for 18 months, can advisers expect all to be quiet on the fiduciary front in 2018? In a word, no. The regulatory baton has been passed from the DOL to the SEC and it's...

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