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NEWS REGULATION AND LEGISLATION FEB 24, 2018
DOL fiduciary rule enforcement won't be halted after all

Massachusetts may be just the first state to hold firms accountable.

NEWS REGULATION AND LEGISLATION FEB 17, 2018
Advisers should take SEC up on offer to waive penalties

This isn't exactly an amnesty program, but it's probably the closest thing.

NEWS OPINION FEB 10, 2018
Make sure clients don't take the wrong lessons from the drop

Corrections can occur, even when all the indicators seem to be positive.

NEWS REGULATION AND LEGISLATION FEB 03, 2018
Despite a pumped economy, Trump's approval remains low

Leadership style is a big factor in rallying unity to attain policy goals.

NEWS REGULATION AND LEGISLATION JAN 27, 2018
Finra should fix budget shortfall by tackling expenses

The agency must adjust to the shrinking number of B-Ds.

NEWS REGULATION AND LEGISLATION JAN 20, 2018
Supreme Court review will bolster fairness of SEC's in-house judges

Those challenging the constitutionality of administrative law judges argue their increased powers mean they should be appointed, not hired.

NEWS RIAS JAN 13, 2018
Amid seller's market for RIAs, firms must prep for potential sale

Valuations of RIAs will continue to entail more art than science.

NEWS REGULATION AND LEGISLATION JAN 06, 2018
Tax overhaul gift may turn into lump of coal sooner than later

Any positive effects are unlikely to last, and will contribute to greater budget deficits over the next 10 years.

YOUR PRACTICE FINTECH DEC 16, 2017
Cryptocurrency frenzy poses a challenge to advisers

Be sure to have a solid, informed case for your viewpoint on bitcoin.

NEWS REGULATION AND LEGISLATION DEC 09, 2017
Congress' work on tax reform barely gets a passing grade

Reform proposals should not be drafted behind closed doors