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Summary: The following questions were raised to us about the new DOL Fiduciary Rule. We cover the DOL Fiduciary Rule in more detail in a previous post, but we thought we'd share.
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Summary: In recent months, there's been an upsurge of serious interest from traditional brokers in becoming RIAs – reversing a recent trend.
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Summary: To SEC investor advocate Rick A. Fleming, improved disclosure of fees and expenses charged by financial advisers is a top priority in the new fiscal year, which begins in October.
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Summary: Just when advisors are absorbing the need to implement ERISA-level fiduciary standards for retirement accounts, there is another regulatory challenge coming down the pike.
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Summary: Brokers who change phone numbers and email addresses in an attempt to retain clients before leaving their firms is a regular problem that has sparked recent disciplinary action, according to the Financial Industry Regulatory Authority Inc.
