Ask yourself how you can work less while earning enough, and how prepared younger advisers are to take over.
The SEC likely will adopt the DOL's definition of fiduciary, and put a rule in place by the end of 2019.
Other companies, including TIAA and New York Life, settled self-dealing suits for millions of dollars in 2017.
Advisers must overcome three barriers in order to serve clients' values
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.
Independent advisers and investment clients fared much better than the DOL rule and robo platforms.
Advisers considering independence have new, high-tech options
The tax-advantaged retirement vehicle has grown in popularity among advisers and clients, despite obstacles.
Despite having fewer brokers than Morgan Stanley and UBS, Citi's exit suggests industry recruiting will change.
Pay attention to new rules for the "individual mandate" requirement and the medical expense deduction floor.
Tyrone Pang was terminated for accepting a customer's check made payable to himself for an insurance premium payment.
The backlog for appealing an adverse decision before an administrative law judge averages 605 days.
Advisers worry that, as the bull market gets long in the tooth, passive funds may falter.
Tax experts scramble to understand full implications of the 500-page law which is anything but simple.
Cerulli says 'concern for fiduciary alignment' will color product selection.
Abiding a well-crafted IPS can help minimize legal trouble for plan fiduciaries.
Finra says the bank's ratings system was riddled with errors and cost clients money.
Fraudulent posts criticize the DOL fiduciary rule, and other groups overseeing advisers are similarly vulnerable.
Live Oak Bank provides financing for transition costs. When you're ready, our Investment Advisor lending team can structure a deal free from the headaches of seller financing.
The proposal is a worthy effort that needs tweaking, so weigh in during the Jan. 2 to Feb. 2 comment period.
