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Tag "Securities and Exchange Commission"

Exclusive Interview with fi360’s Duane Thompson: Dual Registration’s Impact on the Fiduciary Standard

In many ways, the fallout of the Merrill Rule made this debate what it is today.

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Readers Select Top Fiduciary Stories of 2009: #7 The SEC’s Statement on 12b-1 fees

SEC’s Mary Shapiro: “When it comes to 12b-1 fees, there is a need for more fundamental change than mere disclosure reforms and a name change.” FiduciaryNews’ exploration of this hot potato reveals a surprising misconception.

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Top Fiduciary Stories in 2009

The topsy-turvy 2009 provided some of the biggest fiduciary stories in years. Which do you think rates as the most important?

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3 Reasons the SEC’s New 12(b)-1 Stance May Increase 401k Fiduciary Liability

The SEC does the right thing, and some 401k fiduciaries may find they’ve been doing the wrong thing.

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