NAFA Fiduciary Case Postponed Till 5th Circuit Ruling
By Melanie WaddellPostponing oral arguments provides some much-needed breathing room, says NAFAs Anderson.
November 16, 2017
Passive Investing a ‘Great Way to Free Up Time’: Schwab’s ClarkMost indie advisors see the rise of passive investing as an opportunity, not a threat, according to a Schwab survey.
November 16, 2017
Securities America Adds $446M All-Women RIA: Recruiting RoundupMeanwhile, RBC draws teams from Wells Fargo and UBS, and Ameriprise brings on a group from Merrill Lynch.
November 15, 2017
How Do You Beat a Robo-Advisor? TrustSuccessful financial advisors must have the trust of their clients, an MIT economist says.
November 15, 2017
DOL Ready to Enforce Fiduciary Rule: AcostaIf 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
10 Finance Books Worth ReadingThe Ritholtz Wealth co-founder and chairman says these names go beyond the classics; several are off the beaten path and very worthwhile.
November 13, 2017
How to Help Clients Manage Their Most Precious AssetsThey are collectibles, which about 25% of wealthy investors own, but many haven't had their collections appraised or insured.
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.