The 2014 Broker-Dealer Presidents Poll
Our fifth annual Broker-Dealer Presidents Poll found the leaders of independent broker-dealers are optimistic even though they’re still smarting from the costs of staying compliant.
Time to Rein In Rollovers?
If you’ve been paying attention over the past year, you’ve noticed that regulators and those in Washington are placing increased scrutiny on IRA rollovers.
Gallagher: SEC Fiduciary Rule Won’t ‘Stave Off’ DOL Redraft
“Folks have … said do a rulemaking because it will stave off Labor. I don’t like rulemaking to stave off other people,” says SEC's Gallagher.
Raymond James Exec: No Big Merger
Raymond James Financial Services President Scott Curtis also describes the independent broker-dealer's legislative, IT and other aims at national confab.
Fiduciary Will Stay on SEC Agenda ‘Until It’s Solved’
But “being on the agenda and getting it done are two different things,” says SEC’s trading and markets director, Steve Luparello.
How to Add Real Estate to IRAs
Though it's not the easiest investing process, advisors can help clients avoid the common pitfalls, experts say.
Institute for Fiduciary Standard to Craft Best Practices
Vanguard founder John Bogle and Boston University School of Law professor Tamar Frankel will advise the institute’s new Best Practices Board.
DOL Fiduciary Redraft Would Kill Many Small-Biz Retirement Plans: Survey
Thirty percent of small businesses say it's “at least somewhat likely” they will eliminate employee retirement plans under DOL's proposal, a Greenwald survey found.
Ric Edelman: What’s Wrong With IRAs, 401(k)s, and the Industry That Sells Them
The outspoken Edelman talks to ThinkAdvisor about how Wall Street preys on investors, the unconventional structure of his practice and why he opposes mutual funds.
Lawmakers’ Prodding of SEC, DOL Fiduciary Collaboration a ‘Tactic,’ Consumer Groups Say
Lawmakers want SEC to go first on fiduciary because BDs and insurers expect to find the commission's rule more favorable, suggests CFA's Barbara Roper.