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Viewing posts in the Interviews category.


Fiduciary Links: SEC Should Fix Longstanding ‘Mismatch’ in Broker-Advisor Data to Advance Fiduciary Rule

Posted by Duane Thompson on May 19, 2014 in Fiduciary Links In the News Interviews

>>>>>For far too long the Securities and Exchange Commission has failed to calibrate examination and enforcement data comparing inspection cycles and resulting enforcement violations between brokers and investment advisors. The mismatch in data collection and analysis can and should be fixed as critics of a fiduciary standard, in search of another trope, continue their calls for delaying or ending the SEC’s consideration of a fiduciary rule. In recent statements by SEC Commissioner Daniel Gallagher, who has become increasingly outspoken on a variety of topics, the paucity of information on advisors compared to what...

Fiduciary Links: SEC Should Fix Longstanding ‘Mismatch’ in Broker-Advisor Data to Advance Fiduciary Rule

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