An industry coalition filed a petition requesting the agency bring its staff 'guidance' in line with existing regulations on disclosing compensation for recommending mutual fund share classes
During these challenging times, it is more important than ever that we protect and expand access to financial advice
The tax treatment of financial services and reducing burdens on advisers' business entities are among the items FSI will be focusing on this year
National standards would be preferable to a patchwork of state-by-state rules when it comes to dealing with rapidly evolving cyberthreats
Laws and rules passed by state legislators and regulators can have just as profound an impact on our industry as the measures that grab the headlines.
Regulator's actions can serve as a model for the SEC and others on incorporating industry feedback to improve regulatory programs
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
Open lines of dialogue will be crucial in identifying the key issues that are most in need of clarification
A state-by-state approach to fiduciary standards would create a confusing and counterproductive regulatory patchwork that would impede advisers' ability to provide guidance.
If rules don't define advisers' obligations, it's hard for firms and advisers to operate their businesses and providing guidance to clients
