Fiduciary Rule

The self-paced online curriculum consists of a base course and role-specific courses for both fiduciary and non-fiduciary roles

Multiple tiers of service with corresponding client benefits will be the only way to maintain reasonable profitability in the future.

Beacon Pointe’s latest deal puts the wealth manager over the $2B AUM milestone, and it’s eyeing new markets.

Mounting regulatory pressure will push firms to decrease the number of products available due to compliance risks, Cerulli Associates says in a new report.

From recommending wrong share classes to cherry-picking allocations, these are the pitfalls advisers should avoid.

Insurance industry giant targets RIA market via fee-based annuities.

As rules pile up, industry leaders are looking for ways to help advisers navigate what they say has become a regulatory labyrinth.

Mary Jo White also said that the commission lacks sufficient resources to provide oversight of investment advisers.

Even as more planners see opportunities in the rule, a large cohort are reconsidering their careers.

Explaining is as simple as using this phrase: Fiduciary rule.

The Institute for the Fiduciary Standard says the SEC and CFP Board have failed to define true client-first service. It aims to fill that gap with a new list.

Additional guidance on the new regulations will come regularly, according to Deputy Assistant Secretary Timothy Hauser.

In the face of political uncertainty, planners are clinging to cash and reallocating client assets to short-term investments.

From hiring sprees to accelerating software launches, companies are gearing up for the significant expenses and changes wrought by the new regulation.

These trends are expected to be at the top of RIA agendas next year, says Fidelity's David Canter.

The department is defending the rule in three cases brought by Wall Street trade groups, which are aiming to dismantle the new regulation.

The country's largest independent broker-dealer says compliance with the new fiduciary rule will offer competitive advantages.

The rule is finally dragging traditional brokers into the modern era.

The firm says it has put regulatory fines in its rearview mirror, has invested in tech upgrades and has devoted resources to helping advisers adapt to the DoL fiduciary rule.