Senior Investors, SEC Exams, and Your Fiduciary Duty

Senior Investors, SEC Exams, and Your Fiduciary Duty

13 December 2018

The focus on retirement accounts and senior investors has been on the SEC’s National Exam Priorities for years.  However, it is especially so this year, and as the US population ages and more baby boomers enter retirement, the focus and concern for senior investors will continue to grow. Do you have a direct relationship withRead More »

What is going on with the DOL’s Fiduciary Rule?

What is going on with the DOL’s Fiduciary Rule?

15 October 2017

As it stands today, the DOL’s Fiduciary Rule has been delayed to July 1, 2019. This delay to the ruling is a direct result of President Donald Trump’s executive order requesting the Department of Labor to conduct a review of the rule. Even though the rule is delayed, the DOL has stated that advisers mustRead More »