SEC to Release Third-Party Advisor Exam Rule in Spring: TDAI’s Schweiss
By Melanie WaddellWriting a fiduciary rule that still allows proprietary product sales is an "impossible task" for the SEC, says TDAI's Skip Schweiss.
February 03, 2016
Recruiting Roundup: RBC Adds $4M Team in New YorkMeanwhile, Wells Fargo, Raymond James and LPL Financial announce their latest new advisors.
February 03, 2016
SEC Said to Be Shifting Examiners to RIAs; Jarcho Named Deputy Director of SEC ExamsIndustry officials expect the SEC to announce soon that it will shift more examiners to advisors from BDs.
February 03, 2016
How RIAs Put Their Firms’ Value at RiskMany firms simply dont prioritize value, according to a Fidelity study.
February 02, 2016
How to Kill DOL’s Fiduciary Rule: Andy FriedmanCourts don't like to give injunctions, but if opponents to the rule can get one, the rule is dead, the Washington Update analyst says.
February 01, 2016
Talent Wars: Lessons From Leading FirmsAs part of our recruiting process, we periodically check in with candidates to gauge how they are acclimating to their new position.
February 01, 2016
What Advisors Can Learn From ‘Conan the Contrarian’Let's examine some common assumptions fee compression, robo competition, the coming wealth transfer in light of the facts.
February 01, 2016
Failure Sucks: To Succeed, Embrace SuccessDespite the common "wisdom" that failures lead to success, in our work we find there's almost nothing good about failure.