{"id":12246,"date":"2017-01-30T09:42:55","date_gmt":"2017-01-30T14:42:55","guid":{"rendered":"https:\/\/qa.bluevaultpartners.com\/?post_type=news&#038;p=12246"},"modified":"2017-01-30T09:42:55","modified_gmt":"2017-01-30T14:42:55","slug":"sec-could-step-up-if-dol-fiduciary-rule-is-overturned-finra-ceo-says","status":"publish","type":"post","link":"https:\/\/qa.bluevaultpartners.com\/sec-could-step-up-if-dol-fiduciary-rule-is-overturned-finra-ceo-says\/","title":{"rendered":"SEC could step up if DoL fiduciary rule is overturned, FINRA CEO says"},"content":{"rendered":"<h1 class=\"bsp-page-title title-small\">SEC could step up if DoL fiduciary rule is overturned, FINRA CEO says<\/h1>\n<p>January 23 2017, 9:56pm EST |\u00a0<a class=\"bsp-tag\" href=\"http:\/\/www.financial-planning.com\/author\/chelsea-emery\" data-cms-ai=\"0\">Chelsea Emery<\/a>\u00a0| FinancialPlanning<\/p>\n<p><img loading=\"lazy\" decoding=\"async\" class=\"alignnone size-medium\" src=\"https:\/\/assets.sourcemedia.com\/dims4\/default\/39a2057\/2147483647\/resize\/680x%3E\/quality\/90\/?url=https%3A%2F%2Fassets.sourcemedia.com%2F18%2F99%2Fbc12542f42dfa3027eac2eaed286%2Fbs2-8668.jpg\" alt=\"\" width=\"680\" height=\"453\" \/><\/p>\n<p>The SEC has been authorized to craft its own fiduciary standard under the 2010 Dodd-Frank Act. However, <a href=\"http:\/\/www.financial-planning.com\/news\/deliberate-or-just-slow-sec-is-in-no-rush-on-fiduciary-rule\" data-cms-ai=\"0\">the regulator has yet to act<\/a>.<\/p>\n<p>In their wide-ranging conversation, Cook spelled out what he saw as FINRA\u2019s role in enforcement of the regulation. He also discussed his goals for FINRA\u2019s next five years.<\/p>\n<p><b>Brown:<\/b> What is FINRA\u2019s role in relation to fiduciary duty for all financial advisers?<\/p>\n<p><b>Cook:<\/b> We currently do not see ourselves as the examination or enforcement regulator for that [DoL] rule. How we approach it could evolve over time, but it\u2019s not something we\u2019re planning to be the frontline regulator for.<\/p>\n<p><a class=\"fasc-button fasc-size-medium fasc-type-flat\" style=\"background-color: #33809e; color: #ffffff;\" href=\"http:\/\/bit.ly\/2kiQkCu\" target=\"_blank\" data-fasc-style=\"background-color:#33809e;color:#ffffff;\">Read Full Article Here<\/a><\/p>\n<div style=\"clear:both;\"><\/div>","protected":false},"excerpt":{"rendered":"<p>SEC could step up if DoL fiduciary rule is overturned, FINRA CEO says January 23 2017, 9:56pm EST |\u00a0Chelsea Emery\u00a0| FinancialPlanning The SEC has been authorized to craft its own &hellip; <\/p>\n<p><a href=\"https:\/\/qa.bluevaultpartners.com\/sec-could-step-up-if-dol-fiduciary-rule-is-overturned-finra-ceo-says\/\" class=\"read-more\">Read more<\/a><\/p>\n","protected":false},"author":1824,"featured_media":8615,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"_et_pb_use_builder":"","_et_pb_old_content":"","_et_gb_content_width":"","footnotes":""},"categories":[3010,2744],"tags":[],"class_list":["post-12246","post","type-post","status-publish","format-standard","has-post-thumbnail","hentry","category-asset-manager-news","category-topic"],"acf":[],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v23.4 - 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