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2019 Wish List for Regulation of Financial and Investment Advice
Ron A. Rhoades, JD, CFP 
[Opinion] Jan. 10, 2019
"[1] Have the SEC alter how the Advisers Act is applied and enforced.... [2] The states should move to adopt fiduciary standards for brokers who provide investment advice.... [3] Clean up mutual fund regulation.... [4] Solve the problems in defined contribution plans ... [5] Reduce broker-dealer conflicts of interest.... [6] Work to reduce regulatory overkill.... [7] Disband FINRA."
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