A fiduciary is someone who acts on behalf of ... This license is held by brokers who are contracted with dealers that broker products regulated by FINRA (hence the name broker-dealer, or BD).

and that the new rule will bring that industry more in line with brokers, who work under Reg BI, and registered investment ...

These restrictions can be incredibly nuanced" because "the scope of a fiduciary role can be holistic or quite narrow, he adds. For instance, brokers are not legally held to the fiduciary standard ...

They look at the entire estate instead of just investments. Non-fiduciary brokers or agents are limited on the guidance they can offer based on the licenses they have. For example, insurance ...

"Fiduciary responsibilities traditionally have ... who work for registered investments advisory, or RIA, firms, broker-dealers or banks, Faustino says. "Their day-to-day responsibilities typically ...

But it’s not legally required to act as a fiduciary when operating in a broker-dealer capacity. Fidelity is a fiduciary when ...

You will get to grips with the fiduciary rule and its application to broker-dealers, investment advisors, banks, and insurance companies, as well as individuals working regularly with retirement ...