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Requiring a notice of a 'security' fee on a menu isn't good enough. Force restaurants to tell customers before they even enter.
For the first time, the brokerage's self-regulatory body is citing the 3-year-old rule as a reason to remove a firm from the industry.
Lawyers for the popular brokerage service argue that federal regulators have resisted the use of a single conduct standard to preserve investor choice.
The regulator's latest staff bulletin also calls on planners at hybrid firms to always be clear about if they're wearing their broker or advisor hat.
Understandable expenses came out ahead of every other "want" among customers, displaying how transparent costs are an important differentiator for advisors.