This content is from: Culture The SEC’s Proposed Rule Could Put Investment Managers on the Hook for Losses. They’re Not Happy About It. “It is a meteor that could screw up the industry for everybody.” By Alicia McElhaney May 02, 2022
This content is from: Corner Office Why Fiduciary Advisors Will Profit Without a Fiduciary Rule If the Trump administration repeals the DOL’s fiduciary rule, fee-only financial advisors, wealth managers and planners may still win. By Frances Denmark January 11, 2017
Sponsored SEC Plans Fiduciary Rules For Brokers The Securities and Exchange Commission is seeking a new uniform fiduciary standard for broker-dealers and investment advisers. January 24, 2011
This content is from: Corner Office A Possible Trump Target: The Fiduciary Rule A hard-won federal rule designed to protect retirement plan investors from high-commission sales may not survive a Trump presidency. By Frances Denmark November 11, 2016
This content is from: Portfolio AQR’s Cliff Asness Critiques the DoL’s Fiduciary Rule The hedge fund manager warns of unintended consequences that may arise from the attempt to regulate adviser conflicts. By Frances Denmark January 19, 2017
This content is from: Corner Office A Broker’s Take on the Fiduciary Rule A 30-year veteran stockbroker weighs in on the battle in Washington over the Department of Labor’s proposed fiduciary rule. By Frances Denmark October 28, 2015
