Human Capital: Susan Schroeder Says Reg BI Enforcement Actions Loom
By Melanie Waddell Melanie WaddellThe ex-FINRA enforcement chief also weighs in on what Gary Gensler's likely arrival at the SEC means for Reg BI.
November 23, 2020
Excerpts from The Momentum Behind the RIA ModelThe Registered Investment Advisor (RIA) model continues to thrive forward – and now is the perfect time to join the momentum.
November 13, 2020
Human Capital: IAA's Karen Barr on SEC Rules Nearing the Finish LineIn this episode, we talk with the IAA president and CEO about changes to the SEC's custody rule and others that advisors should know about.
October 30, 2020
Human Capital — 'Secure 2.0': Why Now? With Ex-PBGC Chief Charles MillardIn this episode, Millard discusses the big new retirement bill and whether he thinks it'll pass in the lame-duck session.
October 16, 2020
Human Capital: Michael Kitces on Fiduciary Fight and Why He's 'Extremely Nervous' About Schwab DealIn this episode, the popular blogger discusses what's next in his battle against SEC Reg BI and why he's worried about the TD Ameritrade integration.
October 05, 2020
Human Capital: Ron Rhoades Unpacks Reg BI UnknownsIn this episode, the fiduciary advocate says he still has lots of questions on the SEC's best-interest rules.
September 18, 2020
Human Capital: Ed Slott on Why Retirement Plans Are Sitting DucksIn this episode, Slott warns that 401(k)s and IRAs will be ripe targets for lawmakers looking to raise taxes post-pandemic.
September 04, 2020
Human Capital: Lawyer Nick Morgan on Accredited Investor Rule ChangesIn this episode, we talk with Paul Hastings partner Nick Morgan, who discusses the changes and their potential risks.