New NAPFA CEO to push group's mission of fee-only advice
Kathryn Dattomo will take over next month from a leader who doubled the planner group's membership and led efforts to enforce strict fiduciary standards.
Source: financial-planning.com
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SEC warns advisors that new marketing rule, Reg BI will be on the exam
The federal regulator's annual list of inspection priorities shows particular concern that hybrid advisor/brokers aren't properly explaining to clients how they're compensated.
Source: financial-planning.com
Moors & Cabot settles SEC disclosure case for $1.9M
A case involving Moors & Cabot's explanations about its conflicts of interest from cash sweeps signals how the regulator's actions are ramping up.
Source: financial-planning.com
Grace period for stock brokers to comply with Reg BI is over
FINRA warned brokers in its latest annual report about not being fully up to speed with the client-care rule.
Source: financial-planning.com
SEC loses fraud case against CapWealth Advisors
CapWealth Advisors founder Tim Pagliara said a federal jury sided with the firm because its clients had, in fact, paid lower overall fees on their mutual funds.
Source: financial-planning.com