Registered Investment Advisors are subject to fiduciary standards for suitable recommendations.
2.
A broker is not held to the same fiduciary standard as an investment adviser.
3.
Investment brokers serving non-institutional clients or customers, who are not RIAs, are generally not held to a fiduciary standard of care.
4.
Since the financial crisis in 2008, there has been great debate regarding the fiduciary standard and to which advisers it should apply.
5.
Section 913 of the Dodd-Frank Act mandated that the SEC study whether a uniform fiduciary standard should be applied to brokers and investment advisers.
6.
For his work to reform the financial regulatory system, The Institute for the Fiduciary Standard awarded Gensler with the 2014 Tamar Frankel Fiduciary Prize.
7.
Following two public comment periods, the Board adopted a set of revisions that included a non-negotiable fiduciary standard of care for financial planning services
8.
She worked to change the corporate culture for Smith Barney s financial advisors as an early advocate of a fiduciary standard for the brokerage industry.
9.
The EBSA plans to propose a new rule related to fiduciary standards for advisors of retirement and employee benefit plans but has not published a schedule for implementation.
10.
In 2006, the CFP Board s release of proposed changes to the Standards generated controversy within the financial planning profession by introducing a fiduciary standard of care that was negotiable.
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