Added on January 2018 in Form an RIA
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Summary: Fiduciary advocates are urging the Securities and Exchange Commission to prohibit brokers from calling themselves "financial advisers," as the agency considers a regulation that would raise investment advice standards.
Added on January 2018 in Form an RIA
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Summary: What drives a wirehouse advisor to make the leap to independence? And what happens once he gets there? Hear it first-hand in this interview with breakaway broker Matt Celenza.
Added on January 2018 in Form an RIA
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Summary: Another large brokerage has decided to exit the so-called protocol for broker recruiting, with Citigroup Global Markets confirming on Friday that it was leaving the agreement.
Added on December 2017 in Form an RIA
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Summary: New York State's top financial watchdog proposed regulations that would require sellers of life insurance and annuities to act in the best interest of clients, raising standards even as the U.S. government delays its fiduciary rule.
Added on December 2017 in Form an RIA
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Summary: Three new officials — one at the Labor Department and two at the Securities and Exchange Commission — will help the agencies advance their work on investment advice standards.
