Illinois

Stradley Ronon’s Fiduciary Governance Group cited for identifying state-wide trends on fiduciary legislation

The Fiduciary Governance Group’s tracking and analysis of the various state fiduciary developments was referenced in a recent planadviser article on New Jersey’s new proposal.

Jackson thinks a strong enough Reg BI might allay the states

George Michael Gerstein interviewed on fiduciary duty evolution

I was interviewed by 401(k) Specialist Magazine on the latest re. DOL Fiduciary Rule, Reg BI and state attempts at imposing uniform fiduciary standards of care.

Illinois disclosure bill doesn’t seem to be going anywhere anytime soon

The Illinois Investment Advisor Disclosure Act, which was introduced last year without any text, has been designated session sine die. The proposed legislation was thought to possibly follow the approach sought by New York and New Jersey, namely, broker-dealers having to disclose to clients at the time of a recommendation that they are not held to a fiduciary standard.

Our interview with The Intercept

Mixed signals from the states?

An increasingly growing web of fiduciary compliance

Larry Stadulis & George Michael Gerstein sit down with Citywire RIA Magazine to discuss the fiduciary state of play

The January 2019 edition of Citywire RIA Magazine features a discussion with Larry and myself on the various state approaches to regulating broker-dealers and investment advisers within the context of SEC Regulation Best Interest.

Stradley’s analysis featured as part of overview of 2019 fiduciary developments

How prepared are the states to go their own way on retail investment advice standards of conduct?