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CFP Board beefs up advisor resources with new conflict, duty of care guides

General Counsel Leo Rydzewski said more help is on the way as the organization bolsters its repository of tips and how tos.

Leo rydzewskiKnuta rostadSupreme courtInstitute for the fiduciary standardOur standards resource commissionStandards resource commissionCapital gains research bureauResource commissionGeneral counsel leo rydzewskiGains research bureauAdvisers actWealth managementPractice and client managementIndustry newsRegulation and compliance

Is Reg BI working? It depends on how you read Finra s report

Whether Reg BI is working after 20 months depends in part on how readers interpret the examinations report released last week by Finra.

United statesKevin carrollKnut rostadBenjamin edwardsLas vegasRay pellecchiaJohn taftGary genslerJay claytonExchange commissionFinancial industry regulatory authority incInstitute for the fiduciary standardUniversity of nevadaRobertw baird coAmerican securities administrators associationFinancial markets association

SEC Fines 12 More Firms for Form CRS Lapses

The SEC announced settled charges with with six investment advisors and six broker/dealers for not delivering their Form CRS by the required deadline.

New yorkUnited statesQuinn emanuel urquhart sullivanSanjay wadhwaKurt wolfeBen edwardsLas vegasExchange commissionEnforcement divisionInstitute for the fiduciary standardUniversity of nevadaEnforcement division deputyWilliams boyd school of lawForm customer relationship summariesRegulation best interestDivision deputy director sanjay

Committee Wants To Make Direct Fee-Only Compensation The Gold Standard For Benefits

Phoenix, AZ, The Camby Hotel (Feb. 7, 2022) A group of seven professionals throughout the health care industry announced.

United statesUniversity of washingtonMike hanlonGemma foxDavid balatDarren fogartyBluecross blueshieldGayle brekkeDavid contornoUniversity of kansas medical centerHealth cost labsCamby hotel febCommittee for feeCommittee member biographiesHealth rosettaHealth consulting

Hey SEC, please clarify fiduciary duty so I can enjoy college hoops again!

Hey SEC, please clarify fiduciary duty so I can enjoy college hoops again!
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Barbara roperAnn wagnerBrad campbellGary genslerGurbir grewalExchange commissionInstitute for the fiduciary standardStandard of conduct implementation committeeLabor departmentConduct implementation committeeExchange commission chairman gary genslerRegulation best interestFiduciary standard