BDs Finding Balance: 2016 Broker-Dealer Reference Guide
As a subsection of the overall brokerage industry, the independent broker-dealer industry is shrinking.
DOL Fiduciary Rule Puts Advisors on Tricky Terrain
Firms and advisors must now untangle knotty questions raised in the rule.
Finke: DOL Rule May ‘Drop Bomb’ on Asset Management Industry
Annuities, nontraded REITs and even mutual funds face a transformed environment under the DOL fiduciary rule, Michael Finke writes.
Finally, Resolution to DOL's Fiduciary Rule Revolution
The DOL's long-awaited final fiduciary rule “ensures that putting clients first is no longer a marketing slogan, it's the law,” Labor Secretary Thomas Perez told reporters in April.
Will Robos Send Advisors the Way of the Travel Agent?
Will advisors be disrupted by technology, as travel agents have? Or will more tech simply improve service, as with graphic design? That depends.
Overcoming the Fear of Advisors
Anxieties about working with advisors are common — and can be allayed.
How to Manage Flood of Data With Dashboards
For financial advisory firms, the bottom line may be dollars and cents, but experienced industry professionals understand that the most valuable currency is information.
Regulators’ Secret Weapon Against Cyberattackers
FINRA and the SEC continue their concerted efforts to ensure financial firms’ compliance with cybersecurity regulations.
Finke: Putting Millennials’ Finances Into Focus
One of the problems with creating generational cohorts is that we’re tempted to focus on stereotypes. Here's what the data show about millennials.
Wall Street’s Alliance Against Hackers
Cybersecurity alarms have brought financial institutions and regulators into common cause