Sentences with phrase «under a fiduciary standard»

I'm obligated to operate under the fiduciary standard.

Commission business is much more problematic under a fiduciary standard.

These will no longer be considered appropriate under the fiduciary standard.

Are you, and your firm, operating under a fiduciary standard, and have a legal obligation to put my financial well - being first?

Broker - dealers are also regulated under federal law, including under the Securities Exchange Act of 1934, but are not required to provide services to their clients under the fiduciary standard of care.

Second, stated the Coalition: «the court need not wonder about the accuracy of plaintiffs» predictions, for we already know what happens when financial professionals operate under a fiduciary standard of conduct: They continue providing financial advice to U.S. investors of all income levels, but now do so in those investors» best interests.»

Placing $ 1.7 trillion in retirement accounts under the fiduciary standard is an incremental move (most of the rest of the $ 5 trillion in retirement accounts already is under that standard).

Financial Sense Wealth Management has been serving our clients under the fiduciary standard since 1985.

Part of the [industry] would love to be able to say, «We operate under the fiduciary standard just like [RIAs] do»; but they want [their] fiduciary standard to be a different fiduciary standard.

The financial reform bill passed by the House of Representatives brings retail brokers under a fiduciary standard if they supply investment advice.

Digging down into just the shift of assets into ETFs, Morningstar estimates «a reasonable opportunity upwards of $ 140 billion based on the ETF product allocation difference between RIAs that are currently under a fiduciary standard and broker - dealer advisors under a suitability standard,» according to its report.

Under federal law, in particular the Investment Advisers Act of 1940, investment advisers are regulated by the Securities and Exchange Commission (SEC) or appropriate state authorities and are required to provide services to their customers under the fiduciary standard.

Research shows that the costs to broker - dealers to implement a fiduciary standard would be minimal, and that broker - dealers and investment advisers who provide financial services under a fiduciary standard experience stronger asset and revenue growth than those under a suitability standard.

By Ramsey's own admission it won't affect most advisors, because most advisors are already acting under a fiduciary standard.

In rendering her decision, District Judge Barbara M.G. Lynn stated that the Coalition's motion should be granted because its proposed brief «provides a unique perspective» as the only filing party «representative of financial professionals in the United States already operating under a fiduciary standard.»

The answer to all of the issues is to adopt the SEC's recommendations and make the industry operate under the fiduciary standard.

According to Fitch, it's pretty much everybody, from insurance agents and broker / dealers on over to registered investment advisors (RIAs) already under the fiduciary standard.

AC: I would say so and I guess if you really can't tell from our discussion we were for it because we think that the industry should be under the fiduciary standard and I think you will find that most fee - only financial planners are all for it.

Stockbrokers, who do not operate under the fiduciary standard, operate under something called a suitability standard.

Under the fiduciary standard, those games are gone.

Under a fiduciary standard, an investment advisor would be strictly prohibited from buying a mutual fund or other investment because it would garner him or her a higher fee or commission.

In conclusion, the next time you visit with your financial professional, find out if they operate under a fiduciary standard.