U.K., Australia both passed fiduciary rules, though their versions weren't limited to retirement advice. How have they fared, and what can U.S. advisers learn from them? </br><b><i>(More: <a href="//www.investmentnews.com/section/fiduciary-focus"" target=""_blank"" rel="noopener noreferrer">Coverage of the DOL fiduciary rule from every angle</a>)</b></i>
Three GOP senators co-sponsor a resolution to kill the regulation, though it's seen as symbolic, as President Obama would surely veto the measure if it passed.
A professor formed an initiative to define the term and help advisers understand the DOL's fiduciary rule.
Firm owners attempt to balance rewarding adviser performance with keeping a lid on compensation. </br><b><i>(More: <a href="//www.investmentnews.com/section/specialreport/20151018/COMPSTAFF"" target=""_blank"" rel="noopener noreferrer">IN's 2015 Adviser Compensation and Staffing Study special report</a>)</b></i>
They will need to marginally modify their policies and procedures, adjust client agreements and other documents, as well as provide additional client disclosures.
The deal increases Merriman's assets to about $2 billion based on SEC documents filed last month.
The investment advisory firm is the third RIA to join the wealth management group this year.
Fee transparency can help boost retention and open pathways to increased referrals.
Robo-advisers might have more reasons to be worried about the next bear market than investors do.
The Labor Department will unveil a final version of the so-called fiduciary rule next Wednesday, according to a published report.
In his new role, Mr. Robbins will be working with his long-time financial adviser Ajay Gupta.
Many advisers and the firms they work for are still woefully unprepared for what lies ahead.
Mr. Fisher will stay on as executive chairman and co-CIO of the investment adviser
Some clients take years to fire their advisers
The deal is the latest sign of ramped-up dealmaking in the RIA industry.
Billionaire behind Fisher Investments has discussed his intentions for years, but succession plan isn't clear.
Unit will develop 'new tools and techniques' to strengthen risk analysis and surveillance.
An exam can be demanding and time-consuming, but it will go smoother if you prepare for it in advance. </br><b><i>(Plus: <a href="//www.investmentnews.com/gallery/20160311/FREE/311009999/PH/sec-exam-cheat-sheet" target="_blank" rel="noopener noreferrer">10 tips to survive an SEC exam</a>)</b></i>
