A summary of the key components of the tax plans proposed by presidential candidates.
Data aggregation — and knowing what's on both sides of a client's balance sheet — is key to meeting new requirements.
Plus: Bilked Madoff investors get some pay back, the economics of Halloween, and forecasting the election outcome based on costume sales
Plus: How Clinton and Trump won't save Social Security, more scrutiny for sales charges, and taking the 5% challenge.
Agency answers 34 adviser questions pertaining to the regulation's exemptions, including the best-interest contract exemption. <b><i>(More: <a href="http://www.investmentnews.com/section/fiduciary-focus" target="_blank">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
The Massachusetts Securities Division came to that conclusion after surveying 327 RIAs, whom the commonwealth is offering to train for free.
The Department of Labor's fiduciary rule prohibits individual IRA investors from participating in initial public offerings with the assistance of their financial adviser.
The firm and owner Marc Broidy, of Beverly Hills, Calif., allegedly had more than $1.4 million of ill-gotten gains.
By paying for things they absolutely need with income sources that won't run out, clients can enjoy the best treat of all: peace of mind in retirement.
CEO says the commission model, which will require more compliance work on the company's part, serves both clients and advisers well. <b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">The most up-to-date information on the DOL fiduciary rule</a>)</i></b>
Company has spent nearly $19 million this year preparing for the regulation.
'The great challenge ... is that ability to re-differentiate ourselves from those who are following your success and wanting to look and act and to appear to clients just as you do.'
The Democratic presidential nominee is proposing higher taxes on Americans who make more than $250,000, including a 4% “fair share surcharge” on incomes over $5 million a year.
Miniscule benefit hike won't protect seniors' buying power.
Expecting a 5% or higher return? You better get used to disappointment, according to a new report.
Firms shouldn't wait for an inspection notice from the SEC to begin fortifying their online systems.
Following on a rule issued over the summer concerning state plans, the DOL is forging ahead with one governing city-based programs.
According to a study by Unigestion, investors worried about the outcome on Nov. 8 should forget gold and Treasuries.
Expecting a 5% or higher return? You better get used to disappointment, according to a new report.
Listening with empathy and reminding people of their goals almost always stops them from jumping off the proverbial cliff.
