2005, Commission and Fiduciary Duty - Financial Advisor Source

How the SEC Has Strayed From Its Mission

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SEPTEMBER 28, 2021

The petition notes that the SEC, in response to litigation from the Financial Planning Association back in 2005, had proposed to go further, and require anyone holding themselves out as a “financial planner” or providing “financial planning services,” or delivering a financial plan to their customers, be required to register as an RIA. .

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Transcript: Gretchen Morgenson

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JUNE 20, 2023

And so I would see how the over-the-counter desk, over-the-counter stock desk would push stocks and encourage brokers to sell them, put a lot of commission in them, to move them because some big seller was coming into the market. And this was back in 2005 or 2006. RITHOLTZ: Right.

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Financial Advisor Source

How the SEC Has Strayed From Its Mission

Transcript: Gretchen Morgenson

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