Fee-based compensation

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

It’s tough for advisers such as Kimberly Foss to convince prospects that there’s room for indexing in portfolios. Here’s how she gets them on board.

Financial literacy is low, and advisers have the opportunity and digital tools to establish themselves as trusted educators.

Technology changes the way products are priced, bought and sold.

Technology changes the way products are priced, bought and sold.

The four questions that can determine if a hike is in order.

Enforcement actions at the SEC and FINRA highlight emphasis regulators are placing on fees and reverse churning, anti-money laundering programs and variable annuities.

Converging movements – fiduciary, technological and demographic – mean new realities for how a planner will act like a professional.

It’s important for advisers just starting a practice to understand that times may be hard, lonely and often without reward.

A planner who used to be a practicing doctor found that much of the thinking on the most suitable niches didn’t apply to her.