2005 Commission Fiduciary Duty Investments 
Inside Information
SEPTEMBER 28, 2021
The petition notes that the SEC, in response to litigation from the Financial Planning Association back in 2005, had proposed to go further, and require anyone holding themselves out as a “financial planner” or providing “financial planning services,” or delivering a financial plan to their customers, be required to register as an RIA. .
The Big Picture
JUNE 20, 2023
And so I would see how the over-the-counter desk, over-the-counter stock desk would push stocks and encourage brokers to sell them, put a lot of commission in them, to move them because some big seller was coming into the market. This wasn’t a mom-and-pop investment. And this was back in 2005 or 2006. RITHOLTZ: Right.
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