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As Broker Groups Celebrate, Fiduciary Advocates Mixed On SEC Best Interest Proposal

The U.S. Securities and Exchange Commission might be one step closer this week to untangling the confusing and conflicting rules about who provides financial advice and which standards they should be held to – but there’s still a long way to go.

Nearly eight years after the Dodd-Frank Act gave the SEC authority to craft stricter standards for broker conduct, the agency has proposed its own rules, with mixed but generally positive response from the financial services industry.

“The proposals, as discussed by the SEC, appear to be a step forward for investors,” wrote the generally pro-fiduciary Financial Planning Coalition in a released statement.

from FA News https://www.fa-mag.com/news/as-broker-groups-celebrate–fiduciary-advocates-mixed-on-sec-best-interest-proposal-38247.html