Browsing Tag
U.S. Securities and Exchange Commission (SEC)
116 posts
Fred Knows 401k Fiduciary
“What obvious mistakes are made by plan sponsors, investment committees and 401k advisors that drive you absolutely crazy?”…
The NeverEnding Story—Reg BI and the Latest Fiduciary Folly
Progress on the fiduciary rule has often looked like two steps forward, one step back (or vice versa).…
‘Good, Bad and Ugly’ of Current Regulatory Regime: 2019 Fi360 Conference
“Wow, that happened quick.” Fi360 executive chairman expressed surprise at how quickly the room quieted at the start…
Fiduciary Advocates Rip Reg BI in Congressional Testimony
Barbara Roper isn’t happy with certain members of Congress. “Had to laugh when House Republicans used today’s hearing…
Fred Reish: More on What ‘Best Interest’ Really Means (In the Real World)
In my last two posts (Bests No. 9and No. 10), I discussed the definition of the Best Interest standard…
Fred Reish: What Does Best Interest Mean . . . In the Real World?
Previously, I’ve discussed different definitions of a “best interest” standard of care. The point is that, while there…
Fred Reish: What Does ‘Best Interest’ Really Mean?
“Best Interest” has become part of the American lexicon …as an aspirational goal or a demanding standard—depending on…
Fred Reish: SEC Best Interests . . . When? And What About the DOL
The Regulatory Agendas for the U.S. Securities and Exchange Commission (SEC) and Department of Labor (DOL) were recently issued.…
Can States Enact Their Own Fiduciary Rules?
Who will fill the vacuum left by the demise of the Fiduciary Rule? Industry professionals and practitioners have…
DOL to Introduce New Fiduciary Rule
The never-ending story of the Department of Labor’s efforts to implement and enforce a fiduciary rule could soon…