Financial Advisor Legislative & Regulatory Issues:
The Best Interests Standard & Other Issues Important to Financial Advisors

Recently Released!!!
Date Published: February 13, 2019
Summary PowerPoint Deck: 123 Slides

Reference PowerPoint Deck: 241 Slides

The purpose of this research is to provide readers with a comprehensive understanding of current financial advisor legislative & regulatory issues, including issues surrounding the Fiduciary & Best Interests Standard, broker signing bonuses, broker sales contests, 12b1 fees, RIA Oversight, and the 1099 status of independent advisors. 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:
  • Securities & Investments Acts Phase
  • Merrill Lynch Rule Phase
  • Fiduciary & Best Interests Standard Phase
This research highlights the key financial advisor legislative & regulatory issues, including:
  • Fiduciary & Best Interests Standard
  • Broker Signing Bonuses
  • Broker Sales Contests
  • 12b1 Fees
  • RIA Oversight
  • 1099 Status of Independent Advisors
And the research concludes with future predictions regarding financial advisor legislative & regulatory issues, including:
  • Best Interests Standard to be Approved in Summer 2019
  • Several States to Enact Fiduciary Standards
  • Broker Signing Bonuses to be Curtailed
  • Broker Sales Contests to be Curtailed
  • 12b1 Fees to be Curtailed
  • No Change to RIA Oversight
  • No Change to 1099 Status of Independent Advisors
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