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.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Leon LaBrecque, managing partner at LJPR Financial Advisors, offers guidance on Washington's major overhaul.
Advisers say to accelerate deductions, if the client's county allows prepayment and the client can afford it.
Failure to supervise rep's efforts to woo elderly costs firm $125,000 in Massachusetts.
State would require products best suited for clients to be sold over those most profitable to sellers.
Finra says Bear Stearns' flawed system led to securities segregation issues
