Promising developments in the push to boost the number of advisers examined by the SEC each year
Advisers that embrace this disruption and offer a wider range of services will thrive and prosper in the digital age.
Clients need to be sold on the idea of saving for retirement, and needing advice on retirement investments
The regulator must find a way to increase the productivity of its examiners
In the face of volatility, it's now time to review investors' long-term strategies, take the long view, and remain calm.
Mistakes made on this form are low-hanging fruit for the SEC and state regulators.
Plan advisers might not fully understand the rules regarding ESG investments
Broker-dealers and advisory firms would be foolish not to take regulatory priority letters seriously.
Fees that participants pay must be the lowest possible if the sponsors are to avoid potential lawsuits
The market's swoon to start 2016 offers a sobering reminder that unexpected roller-coaster rides remain as real a threat as they were in 2015.
