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How to Find a Financial Advisor - Buy Side from WSJ

This guide decodes the types of financial advisors, what to look for and how to choose the best one whether you need advice on investing, saving for retirement and more.

United statesMicah hauptmanInvestment management consultants associationFinancial industry regulatory authorityConsumer federation of americaMembers of the garrett planning networkXy planning networkFinancial planning associationInstitute for the fiduciary standardGarrett planning networkAmerican college of financial servicesConsumer federationCertified financial plannerCertified financial planning boardChartered financial analystCertified public accountants

Advisors divided on SEC s proposed outsourcing rule

Some think planners need to be more forthcoming about how much of their investing work is being entrusted to third parties.

United statesHugh berksonIvan illanJonathan rogersMari anne pisarriPickard djinisAmazon web servicesPublic investors advocate bar associationAmerican securities administrators associationMoney management instituteInstitute for the fiduciary standardForum financial managementInvestment advisors associationFinancial markets associationLos angeles basedAligne wealth advisors investment management

Regulators urge financial advisors to help stem tide of elderly fraud

Although planners may not have fiduciary duty to protect older clients, many see it as an ethical obligation.

United statesJim wronaAnne mankSuzanne mcgovernKnut ronstadRichard szuchExchange commissionConsumer financial protection bureauInstitute for the fiduciary standardVanguard groupFinancial industry regulatory authorityUs census bureauAmerican securities administrators associationAmerican savesFederal trade commissionIllinois based savant wealth management

DOL Alum Borzi Expects Latest Fid Rule Update Will Be Pushed Back

Phyllis Borzi says that Biden administration revisions to fiduciary requirements rules may be delayed further.

United statesPhyllis borziJoe bidenFederation of americansAmerican securities associationInstitute for the fiduciary standardCircuit courtUs district courtLabor departmentAssistant secretaryFiduciary standardFifth circuit courtConsumer choiceTexa northern district

And Now for the SEC s First Substantive Reg BI Action | Faegre Drinker Biddle & Reath LLP

We have made it a point previously in this blog to track developments of the SEC’s Regulation Best Interest (Reg BI), even speculating more aggressive enforcement actions could be.

United statesLos angelesKnut rostadGary genslerMicah hauptmanHoldings incInternational securities incFaegre drinker biddle reathInstitute for the fiduciary standardConsumer federation of americaRisk monitoring programUs district courtFaegre drinker biddleBest interestCentral districtWestern international securities

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