From Financial Planning
Added on November 2017 in Form an RIA
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Summary: When Morgan Stanley recently announced it was withdrawing from the Broker Protocol — a system installed 13 years ago to lay out clear rules for advisors who leave one firm for another — the decision came as quite the shock to the financial advisory community.
From Financial Planning
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Summary: Financial planning firms are still trying to figure out what to do about the on-again, off-again DoL rule, and whether robo technology is friend or foe. But my candidate for the most disruptive force sweeping through our professional space is something much simpler and less-discussed: face-to-screen technology.
From InvestmentNews
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Summary: Several InvestmentNews readers have asked me to weigh in on whether the recent Equifax data breach, which affected an estimated 143 million Americans, could compromise online Social Security accounts.
From WealthManagement.com
Added on November 2017 in Join an RIA
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Summary: In the first episode of her podcast on independence for financial advisors, Mindy Diamond explores the origins of the space, the backstory of its explosive growth, and introduces key players behind the momentum. She discusses key trends to be aware of, why so many advisors find independence attractive, and defines the profile of a typical independent advisor.
From Think Advisor
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Summary: Securities and Exchange Commission Chairman Jay Clayton told Senate lawmakers Tuesday that harmonizing a fiduciary rule with the Labor Department is a top priority for him and laid out four steps the agency plans to take on such a harmonized rule.
