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April 25, 2017

Ameriprise Reveals Strategic Expansion Deal
Purchase of Texas-based firm opens up banking channel.
Indie BD Revenues Hit Worrying Milestone
Top 25 companies collectively reported 1.3% decline in revenue in 2016.
Are Solutions-Based Products Really a Solution?
So-called solutions-based products finding a following among some FAs.
What Most Americans Think About Fiduciaries
Two in five would leave their advisor if they learned they weren’t fiduciaries, survey finds.
Poll
Vote: Should the SEC Impose its Own Fiduciary Rule?

Last week the SEC’s acting chairman said he thinks the commission should write its own regulation in place of the Department of Labor’s own stalled fiduciary rule. An SEC rule could cover all brokers and all clients, not just advisor/client relationships in retirement savings. Should the SEC write its own fiduciary rule, presumably with broader scope?

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