Financial Advisor Legislative & Regulatory Issues:
The Fiduciary Standard & Other Issues

Recently Released!!!
Date Published: August 15, 2018
Summary Power Point Deck: 41 Slides
Reference Power Point Deck: 235 Slides

The purpose of this research is to provide readers with a comprehensive understanding of financial advisor legislative & regulatory issues. This research is part of Tiburon's broader coverage of elections, legislation, & regulations.

This research includes a history of past financial advisor legislative & regulatory issues, including these phases
  • Dormant 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 advisor legislative & regulatory issues, including:

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

And the research concludes on future predictions regarding financial advisor legislative & regulatory issues, including:

  • Best Interests Standard to be Approved in 2019
  • No Change to RIA Oversight
  • Only Recommendations on Broker Signing Bonuses & Disclosure
  • No Change to 1099 Status of Independent Advisors


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