Financial Advisor Issues to be Reopened:
The Fiduciary Standard & Other Issues

Recently Released!!!
Date Published: February 21, 2016
Summary Power Point Deck: 23 Slides
Reference Power Point Deck: 179 Slides

The purpose of this research is to provide readers with an understanding of financial advisor issues and the impact of the upcoming elections and current legislative & regulatory agenda. This research is part of Tiburon's coverage on elections, legislation, & regulations.

This research includes a history of past elections, legislative, & regulatory actions, including four phases:
  • Bank Regulation Phase
  • Securities & Investments Acts Phase
  • Glass Steagall Restructuring Phase
  • Dodd Frank Wall Street Reform & Consumer Financial Protection Act Phase

This research highlights the key financial services industry regulatory issues, including:

  • Fiduciary Standard
  • RIA Oversight
  • Broker Signing Bonuses & Disclosure
  • 1099 Status of Independent Advisors

And the research concludes on predictions regarding financial advisor issues, including:

  • Fiduciary Standard
  • RIA Oversight
  • Broker Signing Bonuses & Disclosure
  • 1099 Status of Independent Advisors

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