From Think Advisor
Added on April 2015 in Form an RIA
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Summary: As I painfully make my way through the long document that comprises the Department of Labor’s much anticipated (or dreaded) proposed rule changes for brokers that work with clients who have IRAs, the sentence that keeps running through my mind is: “We’ve been had.”
From On Wall Street
Added on April 2015 in Form an RIA
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Summary: When HighTower recently landed the head of a team overseeing $500 million in client assets at Oppenheimer, the move illustrated a nagging problem when groups split: Who gets the clients after a divorce?
From On Wall Street
Added on April 2015 in Form an RIA
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Summary: Advocates are gaining momentum in the already contentious debate over a new fiduciary standard, while opponents warn the rule-making process needs to slow down.
From Financial Advisor Magazine
Added on April 2015 in Form an RIA
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Summary: The SEC has elevated Office of Compliance Inspections and Examinations Deputy Director Marc Wyatt to to acting director of the unit, which is responsible for examining financial advisors.
From InvestmentNews
Added on April 2015 in Form an RIA
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Summary: The Securities and Exchange Commission should develop a database that compiles information about securities law violations and is easy to use for investors, especially the elderly, an advisory group said Thursday.
