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.
Added on December 2017 in Form an RIA
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Summary: An upcoming Finra rule proposal would make it easier for brokerages to determine whether their representatives are engaging in harmful activities away from the office.
Added on December 2017 in Form an RIA
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Summary: Nearly two-thirds of RIAs are offering fee discounts, according to the 2017 Fidelity RIA Benchmarking Study. But, it goes on to caution, there are good and bad reasons for advisors to cut their stated price.
Added on December 2017 in Form an RIA
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Summary: [Podcast] Advisors with their sights set on the highest level of freedom and flexibility, plus the maximum ability to build long-term enterprise value, owe it to themselves to take a closer look at the RIA model.
