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October 10, 2017

‘Decumulation’: The Problem May Be Even Tougher Than You Or Your Clients Understand
Stretching a retiree’s money out over decades is more fraught than most can imagine.
BDs Identify Operational Hurdles of Freezing Accounts
Finra won’t second-guess findings of financial exploitation as long as there are policies in place.
Finra Gets SEC Go-Ahead for New Qualification Exams
Regulator claims new process will eliminate redundant and outdated tests and make it easier to re-enter the industry.
Consumer Advocates: Brokers Are Exploiting DOL Rule
Group takes issue with brokers who’ve moved clients from commission-based accounts into more expensive fee-based accounts.
How Do You Usually Earn Continuing Education Credits?

When your focus is on tending to your clients and managing your business, it can be hard to find the time to earn continuing education credits. FA-IQ's ThinkTank now lets you earn CFP CE credits just by reading the white papers you would normally read in the course of your regular business. How do you usually earn your CE credits?