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SEC Chair Links Fiduciary Standard to RIA Exam Initiatives
FinancialPlanning; free registration required Link to more items from this source
May 10, 2015

"Investment advisors and broker-dealers should be held to a common standard of fiduciary care when serving retail clients, and the SEC should increase examinations to ensure that firms are adhering to those rules, says commission Chairwoman Mary Jo White.... She has directed staffers to develop a proposal for how a third-party system might work in practice, tackling questions like how the examiners would be selected, what the exams would cover and which advisors would be subject to third-party reviews."

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