Third Party Exams Are Looming for RIAs
For the last several years we have repeatedly heard about [...]
The SEC Is Discussing A Single Fiduciary Standard, Again!
Both RIAs and Broker/Dealers will have the same fiduciary standard [...]
What To Do When Your B/D Is In A Crisis
There seems to be a weekly news article about a [...]
Post the DOL, Recruiting Opportunities are Everywhere
Now that the DOL's rule is public, I expect to [...]
The DOL’s Proposal Also Affects RIAs
The final version of the DOL's proposal is expected in [...]
Pending Regulatory Changes May Affect BD Landscape
"Independent BDs are facing a number of regulatory changes in [...]