Indie BD Reps Most Likely to Outsource Model Portfolios: Cerulli
By Emily ZulzAdvisors making their own investment decisions increases potential liability for broker-dealers under the DOL fiduciary rule.
October 05, 2017
6 Personality Traits of the Wealthy and SuccessfulAuthor and financial editor Jean Chatzky discusses what she found from researching 5,000 wealthy and successful people.
October 05, 2017
Brokers Violating DOL Rule by Shifting Clients to Fee Accounts: RoperConsumer Federation of America urges regulators to investigate if firms are found to be exploiting the DOL rule to profit unfairly at their customers expense.
October 04, 2017
SEC ‘Working on’ Fiduciary Rule, Concerned About State Laws: ClaytonSEC and DOL "can cooperate and get there, I believe" on a fiduicary rulemaking, Clayton told lawmakers. "The devil is in the details."
October 03, 2017
Coach Fulmer: 6 Ways Advisors Can Build Winning TeamsGrowing trust in business is not all that different from coaching college football, according to Phillip Fulmer, former head coach at Tennessee.
October 03, 2017
‘Meaningful Changes’ to CFP Standards Proposal May Come Soon: AikinThe head of the board of directors of the CFP Board said those changes could be decided at its November meeting.
October 03, 2017
Fidelity Institutional Names Durbin PresidentMichael Durbin is now in charge of clearing, custody, trading and other programs for RIAs, BDs and related institutions.
October 03, 2017
FPA, CFP Board Formalize Their CollaborationThe stronger collaboration is designed to benefit the organizations, the financial planning profession and the public.