A Category Is Born: CFP Professional Practices
Do certified financial planners make more money than other financial advisors?
Adhering to DOL Fiduciary Rule: Heal Thyself
Acting in your clients’ best interest is just not that complicated, unless you want it to be.
DOL Fiduciary Rule: A Simple Solution
Critics of the Department of Labor's fiduciary rule forget there's a large, thriving group of advisors who already put their clients' interests first.
DOL Seems to Soften Fiduciary Rule Without Selling Out Investors
So what changes did the DOL make to its fiduciary redefinition to accommodate the securities industry and its allies?
CFP Board’s Mandatory Arb Plan: Significantly Better Than FINRA’s
The Board's timing and use of mandatory arbitration as the “solution” virtually cry out for comparisons to FINRA’s controversial arbitration program.
The Mysterious Case of the Unpaid Arbitration Awards
Too many investors win securities arbitration awards and never see a penny, Bob Clark writes.
The DOL (and SEC) Fiduciary Rule and the Two-Hat Dilemma
Michael Kitces is right that the fiduciary issue is one of the brokerage industry’s own making, which is why it's still wrestling with the complications.
The Gloomy Future of (Independent) Broker-Dealers
If Michael Kitces is right, a fiduciary standard for all retail advisors may well spell the end of non-underwriting broker-dealers.
More Revelations From Anti-DOL Fiduciary Rule Crowd
Opposition from the broker-dealer community to the Department of Labor's pending fiduciary rule may be all about its own survival, and FINRA's.
If Broker Arbitration Is Good for Investors, Why Is It Mandatory?
FINRA and its member broker-dealers inherently have a massive PR problem—one that isn’t going to go away with some lipstick and a bit of makeup.