Subscribe (Free) to
Daily or Weekly Newsletters
Post a Job

Featured Jobs

Retirement Plan Consultant

EPIC: TPA/DPS
(Remote / Norwich NY)

EPIC: TPA/DPS logo

Retirement Plan Documents Specialist

Loren D. Stark Company
(Remote)

Loren D. Stark Company logo

Retirement Plan Consultant

Carpenter Morse Group
(Remote)

Carpenter Morse Group logo

Quality Assurance Manager

Bates & Company
(Remote / Winter Park FL)

Bates & Company logo

Compliance Analyst

Pentegra
(Remote / West Harrison NY)

Pentegra logo

Administrator/Consultant (DC and DB)

TPA Professionals
(Remote)

Retirement Plan Administrator

Farmer & Betts, Inc.
(Remote / WA)

Farmer & Betts, Inc. logo

Employee Benefits & Executive Compensation Associate Attorney

Polsinelli PC
(Chicago IL / Dallas TX / Kansas City MO)

Polsinelli PC logo

Retirement Plan Specialist

RTD Financial Advisors
(Philadelphia PA)

RTD Financial Advisors logo

Fund Administrator

Plumbers Local Union No. 1 Benefit Funds
(Long Island City NY)

Jr Retirement Plan Administrator/ Administrative Assistant

Hochheiser Deutsch & Co, Inc.
(Melville NY)

Hochheiser Deutsch & Co, Inc. logo

Executive Compensation Lawyer

Trucker Huss, A Professional Corporation
(Remote / San Francisco CA)

Trucker Huss, A Professional Corporation logo

Retirement Plan Administrator (TPA)

Retirement Plan Consultants
(Remote)

Retirement Plan Consultants logo

Retirement Plan Administrator

Nicholas Pension Consultants
(Remote / Corona CA / Rancho Cordova CA)

Nicholas Pension Consultants logo

Sales Consultant

EPIC Retirement Plan Services
(Remote / Norwich NY / KY / MA / ME / OH / PA / VT)

EPIC Retirement Plan Services logo

Employee Benefits and Executive Compensation Associate Attorney

Verrill
(Portland ME / Boston MA)

Verrill logo

Distribution \ Loan Clerk

Retirement, LLC
(Remote / Oklahoma City OK)

Retirement, LLC logo

DC Plan Administrator

Retirement, LLC
(Remote / Oklahoma City OK)

Retirement, LLC logo

Retirement Plan Relationship Manager

ERISA Services, Inc.
(Remote)

ERISA Services, Inc. logo

Retirement Plan Administrator

Kentucky Trust Company
(Danville KY)

Kentucky Trust Company logo

Retirement Plan Legal Specialist

Pentegra
(Remote / West Harrison NY)

Pentegra logo

View More Employee Benefits Jobs

Free Newsletters

“BenefitsLink continues to be the most valuable resource we have at the firm.”

-- An attorney subscriber

Mobile App image LinkedIn icon
Twitter icon
Facebook icon

<< Previous news item   |   Next news item >>



Which of These Two Visions of the Future of Financial Advice Will Become Reality?
Ron A. Rhoades, JD, CFPLink to more items from this source
[Opinion]
Sept. 11, 2015
"It's 2025. Nearly a decade has passed after the 75th Anniversary of the Investment Advisers Act and the [DOL's] enactment of its 'Conflict of Interest' rule.... Under the new DOL and SEC standards, conflicts of interest were required to be avoided wherever possible. This recognized that disclosures -- while important -- were largely ineffective consumer protections ... Reversing a series of ill-advised decisions and rulemaking by lack of enforcement, the SEC prohibited waivers and disclaimers of core fiduciary duties, a practice often seen in 2015 by dually registered RIAs ... FINRA, which had publicly opposed DOL's imposition of fiduciary standards in mid-2015, and in so doing revealed its true nature as an instrument of Wall Street's sales culture, had its jurisdiction over market conduct activities removed by an Act of Congress."

Please click here to report this link if it is broken (for example, if you see a "404 File Not Found" error message after you click on the link above).
An important word about authorship: BenefitsLink® is providing a hypertext link to the item shown above, but is not the author of the item (unless otherwise specified).
© 2023 BenefitsLink.com, Inc.