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Summary: While the Department of Labor’s fiduciary rule takes effect next Friday, the Securities and Exchange Commission is asking the public for help shaping future regulations for the investment advice industry. The last time the agency issued such a request for information was in 2013, when it collected data and information related to the rules governing investment advisors and broker/dealers. A lot has changed since.
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Summary: Advisers who are going independent need to keep a long-term vision for their practices in mind, and not just select technology based on price, Eric Clarke, CEO of Orion Advisor Services.
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Summary: Advisers snapped to attention when Secretary of Labor Alexander Acosta said in a surprise commentary in The Wall Street Journal that the Department of Labor would not further delay the first stage of the fiduciary rule's implementation. The Labor Department did back off some of the compliance requirements for the rest of this year, however, and said it plans to collect more information. What does this mean for advisers and other wealth management specialists? Scroll through to see 10 things you need to know right now about the fiduciary rule.
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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.
