Deciphering 'Best Interest' in Reg BI
By Melanie WaddellIndustry officials of all stripes continue to scratch their heads about the term as they attempt to comply.
November 10, 2020
The Schwab-TD Ameritrade Deal Is Finally Here"Despite the purchase of small-advisor friendly TD Ameritrade [by Schwab], there are many advancements in technology and new service model choices, making the opportunities for smaller advisors never better," Tim Welsh explains.
November 10, 2020
SEC Continued With 'Vigor' Despite Pandemic: ClaytonThe agency examined 15% of all RIAs in FY 2020 and wants to hire more examiners next year to help monitor Reg BI, Form CRS compliance.
November 10, 2020
Schwab-TD Ameritrade Deal Creates New 'RIA-lity'With the close of Charles Schwab's $22 billion purchase of TD Ameritrade, we look at what it means for advisors and the overall industry.
November 09, 2020
SEC Alert Flags 'Multi-Branch' RisksExaminers observed that the branch office model "may pose certain risk factors."
November 09, 2020
8 Professions Where Trust Wins Over PricePeople are willing to pay more if they feel the professional they are interacting with has their best interests in mind.
November 06, 2020
Fidelity Hiring for Digital Assets PlatformThe news comes three weeks after the industry giant said it wants to fill some 4,000 new client-facing positions.
November 05, 2020
10 Ways to Raise Your Visibility on LinkedInYou can modernize your prospecting pipeline in the time you once would have spent commuting.