The DOL’s DC Fiduciary Shift, and the SEC’s on Munis: Connecting the Advisor Tea Leaves
By Bob ClarkThe increased awareness of the fiduciary duty resulting from financial re-regulation is already having visible effects on DC plans and muni bond advisors.
November 16, 2010
Lame-Duck Priorities: Bush Tax Cuts, AMT, Form 1099 for Small BusinessesThe probability is that all--or most--of the Bush tax cuts will be extended, but also look for AMT relief and a possible repeal of Form 1099 income reportign rules for small businesses.
November 15, 2010
Networking and Social MediaDo you have more than 100 friends on Facebook? What about 200? 300? 1,000?
November 15, 2010
Networking and Social MediaDo you have more than 100 friends on Facebook? What about 200? 300? 1,000?
November 15, 2010
Broker Compensation Under Regulatory ScrutinySEC Chairman Mary L. Schapiro speaks about conflicts in broker incentives and bonuses.
November 15, 2010
How I’m Improving My WebsiteAdvisor Mike Patton writes about his latest developments on the Road to Independence: this week, how he's redesigning his Website.
November 15, 2010
LPL (and GM) IPO; Lame Duck Congress Returns: Advisor Briefing for the Week of Nov. 15, 2010The big market moving--and advisor-related news--of the week concerns initial public offerings of LPL Financial, expected on Wednesday, Nov. 17, the same day that GM will launch its IPO.
November 14, 2010
A Good Hedge Beats LeverageThe Dow took a 2.2% haircut this past week. Since stocks on average generate returns of 6.5% above the rate of inflation per year, and...
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