Industry Officials Forecast DOL Fiduciary Rule's Future
By Melanie WaddellLabor Secretary Alexander Acosta spills the fiduciary beans to Congress; the OCC plans its own fiduciary updates; and NAIFA-NY sues over fiduciary reg.
May 24, 2019
Fact or Fiction? 5 RIA Business Myths, InvestigatedThe truth behind these hot topics in wealth management is more nuanced than it appears.
May 24, 2019
SEC Issues Warning on Cloud-Based Storage SolutionsA risk alert warns that advisors and broker-dealers are not using the available security features.
May 23, 2019
SEC Sets June 5 Vote on Regulation Best InterestThe SEC may also provide a new interpretation of "solely incidental" advice.
May 23, 2019
Honoring Advisors Who Serve(d): Memorial Day, 2019ThinkAdvisor's yearly compilation highlights the stories of 11 military veterans who also serve in the financial advisory industry.
May 23, 2019
DOL Fiduciary Rule Release Set for DecemberAn earlier release is possible given the SEC's expected timeline on Regulation Best Interest.
May 23, 2019
Raymond James Nabs $1.6B Merrill, Wells Fargo Teams: Recruiting RoundupMeanwhile, four UBS advisors have gone independent with Dynasty Financial Partners, and a wirehouse family team joins LPL Financial.
May 22, 2019
Learn From Your Younger Team MembersImplementing a reverse mentorship program has many benefits, which firms of any size can realize.