Table of Contents

Issue Date: July 28, 2014


What would it mean to you if time ran out?

Because unexpected crises strike all the time and their targets are often unpredictable, it is an adviser's duty to be prepared so their clients aren't left in a lurch.

One hand washed the other - until now

Kudos to the SEC for signing off on a rule that should make it more difficult for brokers to erase customer complaints from their records in arbitration cases that are settled. The Securities and Exchange Commission last Wednesday

Fiduciary Corner

Investment Strategies

News for Financial Advisers