Human Expertise Meets Machine Intelligence: The Winning Formula for Modern Financial Planning - Marcia Wagner, The Street, May 8, 2024 (PDF)
investment advice
401(k) Advice Rule Puts New Fiduciaries in Litigation Crosshairs
401(k) Advice Rule Puts New Fiduciaries in Litigation Crosshairs - Michael Schloss, Bloomberg Law, May 1, 2024 (PDF)
4 Takeaways from DOL’s Final ERISA Investment Advice Regs
4 Takeaways from DOL's Final ERISA Investment Advice Regs - Andrew Oringer, Law360, April 25, 2024 (PDF)
SEC Issues New Guidance For Investment Advice Obligations
By Stephen Wilkes and Seth Gaudreau On April 26, 2023, the U.S. Securities and Exchange Commission (“SEC”) published a Staff Bulletin (the “Bulletin”) reiterating the care obligation standards of...
If You Give Rollover Advice to IRA Owners Act Now: The Compliance Deadline Has Passed
If You Give Rollover Advice to IRA Owners Act Now: The Compliance Deadline Has Passed - Marcia S. Wagner and Kim Shaw Elliott, Investment & Wealth Institute, September/October 2022
SEC Provides Further Guidance in its Staff Bulletin: Standards of Conduct for Broker-Dealers and Investment Advisers Conflict of Interest
By Stephen Wilkes and Seth Gaudreau The U.S. Securities and Exchange Commission (“SEC”) recently published a Staff Bulletin (the “Bulletin”) providing further fiduciary standards guidance for...
The Fight to Protect Consumers Against Bad Investment Advice is Advancing, But Slowly
The Fight to Protect Consumers Against Bad Investment Advice is Advancing, But Slowly – Marcia Wagner, CNBC, April 16, 2022 (PDF)