DOL fiduciary rule enforcement won’t be halted after all
Massachusetts may be just the first state to hold firms accountable.
Advisers should take SEC up on offer to waive penalties
This isn't exactly an amnesty program, but it's probably the closest thing.
Make sure clients don’t take the wrong lessons from the drop
Corrections can occur, even when all the indicators seem to be positive.
Despite a pumped economy, Trump’s approval remains low
Leadership style is a big factor in rallying unity to attain policy goals.
Finra should fix budget shortfall by tackling expenses
The agency must adjust to the shrinking number of B-Ds.
Supreme Court review will bolster fairness of SEC’s in-house judges
Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.
Amid seller’s market for RIAs, firms must prep for potential sale
Valuations of RIAs will continue to entail more art than science.
InvestmentNews launches workplace diversity and inclusion initiative
It is our hope that our new initiative will provide inspiration, education and awareness around this important issue for the financial advice industry.
Tax overhaul gift may turn into lump of coal sooner than later
Any positive effects are unlikely to last, and will contribute to greater budget deficits over the next 10 years.
Cryptocurrency frenzy poses a challenge to advisers
Be sure to have a solid, informed case for your viewpoint on bitcoin.