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Summary: It is not uncommon these days to hear certain corners of the financial advice industry tout their fiduciary status as a major appeal among clients and potential clients.
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Summary: The freedom to design your own future doesn’t have to be a dream. As an independent Registered Investment Advisor (RIA), you can build your vision and serve clients—your way. You just need someone to help you get there. That’s why Schwab Advisor Services™ brought together more than 30 years of industry-leading expertise and insight in The RIA Roadmap. This guide will help to explain the key steps to take to start your journey to independence.
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Summary:A coalition of national financial advisor groups have launched a campaign aimed at the telling the SEC—as well as the public—to heed the differences between advisor and brokers when contemplating the commission's proposed Regulation Best Interest standards for FINRA-licensed brokers and SEC-registered advisors.
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Summary: Transitioning to a new broker dealer or RIA firm is as appealing as using someone else’s toothbrush. You lose a huge chunk of clients, work ridiculously long hours and even suffer a break in compensation.
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Summary: As the SEC brings to a close its review of the 2016 breach of its EDGAR filing system, the commission is proposing reforms to its cybersecurity practices and also says it is investigating whether anyone gained from illicit trading activity based on the hacked information.
