In a 3-to-1 vote, the Securities and Exchange Commission passed its rule package that would establish a standard of conduct for broker/dealers. Firms will have about a year to comply with Reg BI and Form CRS.
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Jun 26, 2019
Understand why and when it can make sense to borrow against an investment portfolio.
Major standards of conduct for brokers and investment advisors are expected to be finalized tomorrow by the Securities and Exchange Commission. Here are the big points advisors should be on the lookout for.
Peddlers of retirement products need to give consumers better information.
Jania Stout, co-founder of Fiduciary Plan Advisors at HighTower, built and automated a stewardship report in her CRM to show all of her clients all the behind-the-scenes work that the firm does on their behalf.
Investors may find themselves doing nothing due to being overwhelmed by too many choices, paperwork, fear of making a poor decision or just being too comfortable with the status quo.
A conversation With Margaret Dechant, CEO and founding partner of Kansas-based independent firm 6 Meridian.
