Guest Columnist Brian Hamburger

Top RIA lawyer explains to the SEC why 'harmony' is a harsh misnomer and why the price of its false spin is paid by investors

Brian Hamburger:

MarketCounsel

Hamburger Law Firm

Brian Hamburger

Daniel Bernstein

<p>The past two years have been some of the most momentous in the relatively short history of the RIA profession. Legislators and regulators have been gradually embracing the fiduciary standard, though whether it will fully apply to everyone calling themselves advisors remains to be seen.</p>

<p>The Department of Labor’s crusade to lower costs and increase transparency in retirement plans means a spate of new regulations affecting advisors and brokers in that market. Dodd-Frank Financial Reform, meanwhile, continues to unroll across the profession, with the biggest change being a shift to state oversight of RIAs with less than $100 million AUM. In this section, you’ll find continually updated RIABiz.com coverage on all these topics.</p>

RIA Compliance

MarketCounsel chief pleads for the regulator to draw a bright line between 'patently disparate and distinct' sales and advice models or risk a watered-down fiduciary standard

Top RIA lawyer explains to the SEC why 'harmony' is a harsh misnomer and why the price of its false spin is paid by investors

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November 18, 2022 at 2:56 AM

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