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Summary: Registered investment advisers and broker-dealers are taking the Department of Labor's decision to decline another round of delays for the fiduciary rule in stride.
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Summary: [Slideshow] More financial advisers are relying on social media to attract and communicate with clients. The Financial Industry Regulatory Authority Inc. recently issued important guidance on advisers' use of social media. Here's what you should know.
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Summary: The SEC's new chair, Jay Clayton, is set to take the reins at an agency where many senior staffers have departed following the election and a host of regulatory initiatives face an uncertain future.
Added on April 2017 in Form an RIA
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Summary: Latest research from Shareholders Service Group shows that 80% of advisors do not fear Robo’s; rather, RIAs see the automation opportunity that digital advice platforms provide
Added on April 2017 in Form an RIA
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Summary: In April 2016, the Department of Labor (DOL) issued an expansion to its fiduciary rules. One key takeaway is that advisors providing retirement advice would now have to meet a stricter fiduciary standard. In recent months, many advisors have confronted questions about how these rules will impact their practices, including how increased regulatory scrutiny may impact their firms’ day-to-day operations.
