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Keyword: Fiduciary duty

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suspicious client

Mixed reaction as DOL seeks to harmonize with SEC rules on broker conduct

A gavel rests on its sounding block with a several law books and a justice scale out of fucus in the background. A cool blue cast dominates the scene. (A gavel rests on its sounding block with a several law books and a justice scale out of fucus in t

Court finds registered account investors were charged undisclosed currency fees for 10 years

suspicious client

State rules follow the demise of the federal DOL standard

professional woman meeting male advisor

The new broker conduct rule waters down the protections in the Dodd-Frank Act, the states say

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The reforms also feature new relationship disclosure requirements for both registered investment advisors and broker-dealers

businesspeople with digital tablet sitting in modern office

Neither product nor sales volume fell

Stacked white books on rules and regulations

The regulator intends to publish a paper this fall with detailed reform proposals

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Tips for knowing when you’re in a fiduciary relationship and providing dutiful service

United States Capitol, Washington DC

U.S. securities industry lobbyists say developing standards at the state level will result in conflicting requirements

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The group argues that the proposed rule, as it stands, is too weak in certain respects and too ambiguous in others