Fiduciary advocates hope Democrats will continue to hold the line against the provision
Jamie Hopkins, associate professor of taxation at the American College of Financial Services, offers guidance.
This month's edition kicks off with the big news that the Center for Research in Security Prices (CRSP) is working with Vanguard to put its Total Stock Market Index (along with several others) on a publicly available blockchain.
Other companies, including TIAA and New York Life, settled self-dealing suits for millions of dollars in 2017.
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
Junxure users will continue to be supported, and gain access to AdvisorEngine tools.
Senior reporter Mark Schoeff Jr. speaks with Investment Adviser Association CEO Karen Barr about what's to come now that the SEC has a full commission, including how the agency might proceed on its fiduciary rule.
Advisers must overcome three barriers in order to serve clients' values
Advisers considering independence have new, high-tech options
Independent advisers and investment clients fared much better than the DOL rule and robo platforms.
The tax-advantaged retirement vehicle has grown in popularity among advisers and clients, despite obstacles.
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
Pay attention to new rules for the "individual mandate" requirement and the medical expense deduction floor.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Tax experts scramble to understand full implications of the 500-page law which is anything but simple.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Cerulli says 'concern for fiduciary alignment' will color product selection.
Finra says the bank's ratings system was riddled with errors and cost clients money.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
