For Compliant Advisors, Known (and Unknowable) Unknowns
The SEC, FINRA, DOL — regulations and oversight come from all sides, and anticipating what's compliant today but won't be tomorrow is a tricky game.
CFA's Roper Gives It to the Brokerage Industry
While the DOL has received a “few valuable nuggets” regarding its proposed fiduciary rule, there are other suggestions itcan “safely ignore,” said Barbara Roper.
Evensky: Fee-Only Advisors Face Annuity Dilemma
Fee-only pioneer Harold Evensky says fiduciary advisors will be obliged to recommend annuities — even if it means they won't get paid on those assets.
Industry Gears Up for Fiduciary September
Advisors are beginning to think that if regulators won't move forward on fiduciary rules, maybe the profession should, TD Ameritrade's Skip Schweiss tells ThinkAdvisor.
House Bar on SEC Fiduciary Rule Likely DOA in Senate
It's “unlikely that the Senate will agree” to prohibit the SEC from making a uniform fiduciary rule, says IAA's David Tittsworth.
White House Getting Involved With DOL Fiduciary Redraft
The White House’s National Economic Council will be performing “industry outreach” regarding the DOL's fiduciary redraft, according to industry officials.
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.
Why Advisors Should Watch Obama’s State of the Union Speech
For one thing, your clients (and prospects) may be watching. For another, it's important to understand how the truth gets twisted in Washington.
12 Best U.S. Cities for Successful Aging
The Milken Institute rankings, compiled every other year, tally 78 variables on metropolitan regions, with surprising results.
Marketers Not Sure Social Media Really Works
Marketing executives are struggling to show the value of their social media marketing, according to a survey by a Duke professor.