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SEC Risk Alert on Compliance with the Marketing Rule-Examination Observations | JD Supra
JD Supra· 3 days agoThis Alert reinforces prior Division publications[1]that addressed SEC-registered investment advisers’ compliance with Rule 206(4)-1 (the “Marketing Rule”) under the
Americans Deserve Straight Retirement Advice. They Work Too Hard for Their Money.
Barrons.com· 6 days agoWhat’s appropriate...and a duty of loyalty. Investors should receive advice from advisors who...
Expanded Fiduciary Rule Finalized By DOL | JD Supra
JD Supra· 7 days agoLost amidst the hoopla of invalidated non-competes and overtime rules, the U.S. Department of Labor issued its long-awaited final fiduciary rule (the “Final Rule”) yesterday ...
Tanya Walliser Named as Five Star Award Winner and Featured in Wealth Managers Under 40 Section of...
Digital Journal· 6 days agoCondor has been in Martinsville, NJ, for over 25 years and...Condor, the client always comes first; fees are based only on portfolio size, not sales commissions or number of trades. As a true ...
IRA rollovers: what to watch out for — and how to avoid the sharks
Market Watch· 6 days agoIf your IRA and 401(k) both have satisfactory investment options for you, it doesn’t matter which...
Is your financial adviser on your side? There are new rules for managing retirement savings — why...
Market Watch· 5 days agoThe last time the DOL put forth a fiduciary rule was under the Obama administration — but the Fifth...
CFPs, CPAs, RIAs and More — What Do Each of These Financial Professionals Do for You?
GOBankingRates via Yahoo Finance· 3 days agoAccording to Statista, 61% of adults invested in the stock market in 2023. If you've started...
DOL Fiduciary Rule 2024: What It Means for Investors
Morningstar· 5 days agoThis week, the Department of Labor published the Retirement Security Rule. The rule redefines who qualifies as a fiduciary under the Employee Retirement Income Security Act ...
6 Biggest Mistakes To Avoid When Hiring a Financial Advisor
GoBankingRates via AOL· 7 days agoUpping your financial knowledge game this year is something that will bring benefits throughout your...
4 Best Micro-Investing Apps of 2024: Stash, SoFi, Acorns, Public
Penny Hoarder via AOL· 6 days agoSome of the links in this post are from our sponsors. We provide you with accurate, reliable...