November 25, 2017

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Featured News

Can the SEC and DOL really harmonize advice standards for brokers and advisers?

Experts ponder what a Securities and Exchange Commission fiduciary rule will look like, and whether it will help unify requirements across agencies.

Do specialized retirement plan advisers even need a broker-dealer?

The reasons for affiliating with a brokerage have changed as compensation has evolved.

Editorial Smart money says temper expectations of stock returns

Gains are unlikely to top 5% annually, according to the Yale Endowment's David Swensen.

Clarifying difference between advice, sales not as simple as it sounds

Current rules require different standards based on whether advice is 'incidental' to a transaction.