Fiduciary September 2012

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  Vanguard’s Bogle to SEC’s Schapiro: Include Institutional Advisors in Fiduciary Rule

  By Melanie Waddell, AdvisorOne  |  September 11, 2012

  In the debate over how to shape a fiduciary mandate for brokers, Vanguard founder John Bogle says that the SEC should include in its rule advisors to registered investment companies, which have been “ignored.”

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  SEC’s Schapiro to AdvisorOne: Fiduciary Issue Still ‘Important’

  By Melanie Waddell, AdvisorOne  |  September 10, 2012

  Before meeting with industry heavyweights on Tuesday regarding the fiduciary rule, Schapiro told AdvisorOne that the SEC is still working to advance a fiduciary rulemaking.

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  Kicking SEC’s Fiduciary Efforts Back Into Gear

  By Melanie Waddell, AdvisorOne  |  September 5, 2012

  Barbara Roper of the CFA and others discussed ways to get the SEC to move forward on proposing a fiduciary rule on a conference call Wednesday.

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  Why Focus Only on the Surface Costs of Fiduciary Advice?

  By Bob Clark, AdvisorOne  |  September 4, 2012

  It’s time we started talking about what financial consumers are giving up in return for their “free” advice.

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  Harmonizing DOL, SEC Fiduciary Rules Forces a Stark Choice, fi360 Warns Lawmakers

  By Melanie Waddell, AdvisorOne  |  August 27, 2012

  Harmonizing the two rules, fi360 says, would require the SEC to toughen its rules or the DOL to relax them, violating ERISA requirements and weakening protections for retirement plan participants.

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  Fiduciary Rule Could Be Years Away: Industry Experts

  By Melanie Waddell, AdvisorOne  |  August 22, 2012

  Knut Rostad, president of the Institute for the Fiduciary Standard, told AdvisorOne on Wednesday that regulators will most likely "continue to punt" the fiduciary issue.