Surges by the political outsider, as well as by liberal insurgent Bernie Sanders, should make the investment advice industry sit up and take notice
Promising developments in the push to boost the number of advisers examined by the SEC each year
Advisers that embrace this disruption and offer a wider range of services will thrive and prosper in the digital age.
The regulator must find a way to increase the productivity of its examiners
Clients need to be sold on the idea of saving for retirement, and needing advice on retirement investments
In the face of volatility, it's now time to review investors' long-term strategies, take the long view, and remain calm.
Plan advisers might not fully understand the rules regarding ESG investments
Mistakes made on this form are low-hanging fruit for the SEC and state regulators.
Broker-dealers and advisory firms would be foolish not to take regulatory priority letters seriously.
Fees that participants pay must be the lowest possible if the sponsors are to avoid potential lawsuits
