Six Ways Regulation Best Interest Falls Short of a Fiduciary Standard
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The SEC is allowing financial professionals to hide in a lower legal requirement, not meet a fiduciary standard, and call it “Best Interest.”

SEC Regulation Best Interest Does Not Have Your Best Interests At Heart
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On June 5th, 2019, the Securities and Exchange Commission (SEC) released their final draft of Reg BI, or “Best Interest” as it is called.

NAPFA Challenges the Securities and Exchange Commission
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I couldn’t be prouder to be a NAPFA-Registered Financial Advisor.

New SEC Advice Rule Abandons Fiduciary Standard For Brokers
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The SEC released an embarrassingly poor 1,000 page document.

How to Comply With the SEC’s Strange New Custody Rule
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Compliance is never simple. Thousands of hours have been spent because the SEC refused to clarify what they expect.

How Does Compliance Differ Between Smaller Firms and Large Brokers?
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It is relatively easy for an adviser who has a 400 lawyer compliance department to sit through some compliance continuing education and yet never understand what attitudes and behaviors need to be changed.

Did Obama Violate an SEC Regulation?
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From the blind eye of the law, this seems like a violation of SEC regulation.

Failed Experiment at the SEC
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Those who don’t understand or experience regulatory capture wrongly believe in a team of angels at these federal agencies tirelessly working for the common good.

Five Unbelievable Financial Advisor Regulations
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To comply, most firms must archive and report massive amounts of information. Here are five of the more interesting regulations.

Importance of Accurate Compensation Disclosures For Consumers
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You deserve a fee-only fiduciary standard of care.

SEC Requires New ADV Part 2 Disclosure Form
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Unfortunately, our society tends to pass feel-good legislation aimed at making people feel safer without actually making them safer.

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