The latest Reg BI guidance addressed whether clients can 'waive' the rule's protections, whether affiliated firms can submit separate CRS forms, and whether firms have to build entirely new systems and processes to be in compliance.
SoCal Wealth Management's Michael Gennawey explains how his firm works within the umbrella of the Credit Union of Southern California.
If your goal is to do better work, start by doing more work.
Dave Lubnik, vice president of business development for YCharts, explains how financial advisors can use YCharts to help them communicate with clients.
The Carson Group has made Jamie P. Hopkins, its director of retirement research, managing director of Carson Group Coaching.
Groups such as the Heritage Action for America, FreedomWorks, Americans for Tax Reform and the National Black Chamber of Commerce call the SEC's proposal an "expensive 'solution'" to a "potentially non-existent 'problem.'"
A new Vanguard Research study indicates that advice, both human and algorithmic, can help investors diversify.