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October 28, 2016
DOL Boosts BlackRock, Vanguard, Schwab Pre-Fab ETFs
Maturing market still seen as open to smaller RIAs savvy to regulatory reforms.
DOL Unveils Fiduciary Rule Guidance
Survey finds that most advisors are confused about the rule.
Finra Targets Broker-Dealer Cross-Selling
Move comes on the heels of Wells Fargo cross-selling scandal.
SEC Probes Wealth Firms’ Whistleblower Protection
Regulator on watch for language preventing employees from disclosing possible violations.
Client Response Confirms Firm's Decision to Focus on a Niche
After years to building a targeted practice, a client’s feedback validates an FA's decision.
|The Client - Finding and winning new clients||The Client - Client retention|
|The Client - ERISA plans/institutional management||The Client - Behavioral finance|