Are DOL Fiduciary Foes Protecting the Little Guy? Financial Engines CIO Cries Foul
By Bernice NapachChristopher Jones says opposition to the fiduciary rule is not really about how it impacts small investors but firms' desire to sell them high-fee products.
March 17, 2016
4 Catalysts of Coming Breakaway Surge: TDAIScott Collins, who heads advisor transitions at TDAI, thinks more indie and wirehouse advisors will be moving into the RIA space by end of 2016.
March 17, 2016
LPL, Edward Jones Pre-DOL Rule Shifts: Smart Moves or Overreaction?Industry watchers share their views on the merits and drawbacks of such an approach by several broker-dealers.
March 17, 2016
Career Swap: Why 7 Advisors Left These 7 ProfessionsThere are many more career changers than undergraduates enrolled in CFP programs, says Joseph Maugeri of the CFP Board.
March 16, 2016
LPL Cuts Prices, Account Minimums Ahead of DOL Fiduciary RuleThe independent broker-dealer also plans to offer a fund-only brokerage IRA to meet the new fiduciary standard.
March 14, 2016
Top Portfolio Products: State Street Launches SHE, a Gender Diversity ETFWho is SHE? This new State Street index ETF has the potential to outperform because of gender diversity.
March 11, 2016
SEC Officials Butt Heads Over Third-Party Advisor AuditsAt IAA conference, two competing approaches to increasing advisor exam frequency: shifting BD examiners to RIAs or third-party audits.
March 10, 2016
Why SEC Fiduciary Rule May Be ‘Unattainable’Dueling divisions and split commissioners complicate this rulemaking, former SEC executive Bob Plaze says.