While recent legislation has sparked debate about suitability versus fiduciary standards, a majority of investors do not understand the difference between the two, a survey by J.D. Power and ...

Finding the best investment advisor depends on understanding a few terms of art. Two particularly key terms retail investors are likely to run across when looking for an expert to help with ...

The Mortgage Bankers Association (MBA) recently made a preemptive strike against what it obviously perceives as the next threat against the mortgage industry - "suitability standards." It is suggested ...

A sign outside the Financial Industry Regulatory Authority office. Barely three weeks after a pair of Laidlaw & Company brokers settled charges of failing to look out for their clients' best interests ...

For the American mortgage market, it could be the hottest buzzword of the year: Suitability. That’s because Congress has a new top legislator for mortgage matters, Rep. Barney Frank, who believes that ...

Five years ago, the SEC launched a regulation for broker-dealers called Reg BI, which requires broker-dealers to act “as if” they are fiduciaries. That isn’t really what the regulation says, but it’s ...

Financial professionals who recommend clients buy a security or financial product are held to ethical standards that can be enforced by law. One such standard is known as the suitability rule, which ...

A fiduciary is someone required to act in your best interest when providing financial advice or managing your assets. Find out if your financial advisor acts as a fiduciary at all times, especially if ...

An annuity sales bill updating California's suitability standard is expected to be presented Wednesday to the state Assembly Committee on Insurance. After a brief delay, the bill is back on track ...