DOL Ready to Enforce Fiduciary Rule: Acosta
By Melanie WaddellIf firms are willfully violating the best-interest standard, which took effect June 9, Labor will use its enforcement authority, Acosta told lawmakers.
November 13, 2017
SEC’s Top 3 Enforcement PrioritiesStephanie Avakian, co-director of enforcement, said the agency is trying to be more strategic, expanding the use of digital analytics in investigations.
November 09, 2017
17 Hottest States for Jobs as a Financial AdvisorAccording to the Bureau of Labor Statistics, these states show surging job growth for financial advisors through 2024.
November 09, 2017
Lessons for Advisors From a Bus TourThe American Century/Investopedia tour, covering six cities in five states, found that advisors should focus more on financial planning than portfolio management to attract clients.
November 09, 2017
LPL Says Retention of NPH Reps at 70%If it hits 72% of fees and commissions, the IBD will need to pay up to $123 million more for its acquisition.
November 09, 2017
Millennials Want Their Financial Advice Right Now, and It Better Look PrettyAt a conference, Ron Carson talked about losing a billion-dollar client's millennial heirs to an advisor more attuned to their needs.
November 09, 2017
How to Retain Your Clients, and Your Sanity, When Switching FirmsFollow these five steps to help smooth the transition for your clients and their assets.
November 08, 2017
Tibergien’s Comments on RIAs Are Tough, but Deserve to Be HeardThe Pershing Advisor Solutions CEO's candid comments to me about the industry are sure to upset many RIAs.