1. SEC's New Investor Protection Rule Won't End the Fiduciary Debate

    SEC's New Investor Protection Rule Won't End the Fiduciary Debate

    Regulation Best Interest is the latest regulatory move in the debate over whether advisors and brokers should adhere to a "fiduciary standard."...

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  2. Quotes

    1. Broker-dealers and registered investment advisory firms historically have not have a uniform standard of conduct, and that has not changed.
    2. There are some discussions that go on for years.
    3. I think everything is up in the air at DOL now because of the resignation of Acosta and the nomination of Scalia.
    4. We'll let you have the conflict and then just mitigate it.
    5. All compensation models have conflicts.
    6. I think this is continuing us as an industry down a path of increased professionalism.
    7. These greater standards, combined with training, compliance and documentation efforts … will lead to more professional interactions with clients.
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