SEC’s Uniform Fiduciary Rule Could ‘Haunt’ Advisors
Creating a uniform fiduciary duty rule for brokers and advisors is a “deeply flawed” concept, says former investment management deputy director Robert Plaze.
Schwab, TD Ameritrade Report 3% Monthly Uptick
TD Ameritrade also says it has expanded its online education site for RIAs.
Savings Account Trumps Investing for Gen Z: TD Ameritrade
When asked what their biggest concern with today’s economy was, Gen Z respondents were most likely to say jobs and unemployment.
TD Ameritrade Fee Rebates: A Win or a Loss for Investors, Advisors?
Industry experts Lou Harvey and Michael Kitces weigh in on TD and Schwab's moves to support model portfolios.
What's Next for the Fiduciary Standard?
While the industry awaits a decision by the SEC on whether it will move forward with a uniform fiduciary rule for brokers and advisors, fiduciary advocates will engage this month in a debate about the importance of the two fiduciary rulemakings being considered by the SEC and the DOL.
A New Hope
In the individual video interviews I conducted with the leaders of the 2014 Broker-Dealers of the Year, I asked what advice they’d give to a college student considering a career in the financial advice field.
New Hire Roundup: American College Names Johnson President and CEO
In another personnel move, Advisor Software has hired Charles Brown as vice president of business strategy.
Sontag Joins Board of Focus Financial; Bruton In as Lucia Capital CEO
These growing firms aim to add more advisors — and business — from the wirehouses, as well as from independent firms.
Liquid Alts; Women and Money; Growth by Design: Investment Advisor August Features—Slideshow
After stocks’ performance the past few quarters, some investors might be tempted to stick with what looks like a good thing.
Top Portfolio Products: Incapital Launches Farmer Mac Notes Program
Meanwhile, a new partnership between PwC and Salesforce.com allows wealth managers to use the cloud for numerous functions.