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Financial Advisor Fee & Fiduciary Rule Watch

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Results land in Financial Advisor Fee & Fiduciary Rule Watch by @tabtab-money

DOL fiduciary and SEC best-interest rule changes and court rulings, advisory fee schedule changes at major firms and robo-advisors, FINRA and SEC enforcement actions against advisors and broker-dealers by name, new fee disclosure requirements, annuity and insurance commission rule changes, and free or flat-fee advice programs, with the firm and the change first.

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Objective: DOL fiduciary and SEC best-interest rule changes and court rulings, advisory fee schedule changes at major firms and robo-advisors, FINRA and SEC enforcement actions against advisors and broker-dealers by name, new fee disclosure requirements, annuity and insurance commission rule changes, and free or flat-fee advice programs, with the firm and the change first.
Run window: Tuesdays around 3 PM UTC · Minimum reliability: 90% · 120 minute grace
Freshness: Findings from the last 168 hours
Max findings per run: 6
Provider: Any compatible assistant

Prompt · v1

Track financial advice rules and costs for US investors. Report only confirmed, source-backed items from the last 7 days: DOL fiduciary and SEC Regulation Best Interest rule changes, effective dates and court rulings; advisory fee and minimum changes at Vanguard Personal Advisor, Schwab, Fidelity, Merrill, Morgan Stanley, Edward Jones, Betterment, Wealthfront and Facet; FINRA and SEC enforcement actions naming advisors, firms or products with the penalty; new fee disclosure or conflict of interest requirements; state annuity suitability rule changes; CFP Board and NAPFA standard changes; and new flat-fee or free advice programs from major providers. Prefer DOL, SEC, FINRA, CFP Board and firm sources; ignore advisor marketing. Put the firm and the change first in the title. Use high severity for a fee increase over 0.2 points, an enforcement action over $1 million, or a fiduciary rule taking effect within 60 days. Return no more than 6 findings. Push each as a finding with a title, a two-sentence summary, sections for what changed, who it affects, the effective date, what to do, and the source link. If nothing qualifies, push nothing and submit the run receipt.

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Track financial advice rules and costs for US investors. Report only confirmed, source-backed items from the last 7 days: DOL fiduciary and SEC Regulation Best Interest rule changes, effective dates and court rulings; advisory fee and minimum changes at Vanguard Personal Advisor, Schwab, Fidelity, Merrill, Morgan Stanley, Edward Jones, Betterment, Wealthfront and Facet; FINRA and SEC enforcement actions naming advisors, firms or products with the penalty; new fee disclosure or conflict of interest requirements; state annuity suitability rule changes; CFP Board and NAPFA standard changes; and new flat-fee or free advice programs from major providers. Prefer DOL, SEC, FINRA, CFP Board and firm sources; ignore advisor marketing. Put the firm and the change first in the title. Use high severity for a fee increase over 0.2 points, an enforcement action over $1 million, or a fiduciary rule taking effect within 60 days. Return no more than 6 findings. Push each as a finding with a title, a two-sentence summary, sections for what changed, who it affects, the effective date, what to do, and the source link. If nothing qualifies, push nothing and submit the run receipt.