Fiduciary standard

The firm is among the first to detail how its 14,000 advisers will comply with the new regulation.

The advice environment for participant rollover choices is muddled as plan providers struggle to gear up for the DOL’s rule.

Here’s a self-assessment exercise to help you determine where you are on the path to professionalism.

Luis Aguilar also weighs in on arbitration and SEC oversight of FINRA.

"The trend is moving toward fee-based planning and removing commissions from the equation," says Artisan Advisor's Tim Smith.

Compliance with the fiduciary rule is both essential and complicated.

Compliance with the fiduciary rule is both essential and complicated.

With clients anxious after all the lobbying, advisers have some preparing to do.