Updated Tuesday, April 28, 2015 as of 3:48 PM ET

Email This Article

SIFMA Seeking Progress on Uniform Fiduciary Standard in 1Q

Kenneth Corbin

As regulators continue their work implementing the numerous provisions of the Dodd-Frank financial reform act, a leading Wall Street trade group is hoping that 2013 will see movement on the controversial effort to implement a uniform fiduciary duty for investment advisors and broker-dealers when providing personalized advice to retail clients.

Login for Registered Users:

Log in below to email an article:

Advisors on the Move: Morgan Stanley Loses $750M Team
The April Issue is now online!


TWITTER
FACEBOOK
LINKEDIN

Industry Events

June 18, 2015 | New York Hilton Midtown, New York, NY

June 24, 2015 | Chicago, IL

November 3, 2015 | The Broadmoor Hotel in Colorado Springs, Colorado

Already a subscriber? Log in here