Top 2020 Compliance List? Reg BI, Secure Act, New Ad Rule
By Melanie WaddellAs the year-end approaches, industry participants discuss chances for the Secure Act's passage and how likely it is that Reg BI's compliance date will stick.
November 22, 2019
Atria Wealth Solutions Set to Acquire WISIBDs have been almost as active in M&A as RIAs. Atria keeps growing its own network and advisor army.
November 22, 2019
Why Schwab-TD Deal Is About Assets First, Advisors SecondIndustry insiders break down the key reasons for the $26 billion merger and related trends likely to impact RIAs.
November 22, 2019
Ohio National, Foes Seek Halt to Trailing-Commissions CaseWith different lawsuits nationwide, the life insurer and broker-dealers suing it asked Texas court to "stay" litigation there until Ohio case moves forward.
November 22, 2019
Schwab-TD Ameritrade Deal Has 'Technical Hiccup': ReportIt's possible the deal could be confirmed later Friday or over the weekend, according to Fox Business Network.
November 21, 2019
Providing Your Clients Value Through Retainer-Based PlanningIt is possible to create a profitable business that adds real value to clients' lives without stretching yourself too thin.
November 21, 2019
Schwab-TD Ameritrade Deal Is No Sure ThingA merger of the two larger brokerage firms faces antitrust and other hurdles, according to some key industry watchers.
November 21, 2019
Accredited Investor Definition, Custody Rule on SEC's 2020 Reg AgendaExpansion of the accredited investor definition is garnering mixed reviews.