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AARP Wants Prospective Clients to put Advisors on the Record

Financial advisors, more accustomed to fielding questions about fees or the stock market outlook from prospective clients, should get ready to also answer queries about best interest or suitability standards.  This is, if state regulators and AARP have anything to say about it. To read the full article in FinancialPlanning, click: AARP Wants Prospective Clients to put Advisors on the Record. ...

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Sixteen Compliance Trends to Watch in the New Year

Financial advisors face a slew of new regulatory issues in 2018, and when it comes to compliance, they are “better off changing the oil regularly than waiting for the engine to blow up.”  That vivid warning comes from Todd Cipperman, founder of Cipperman Compliance Services, a consulting firm specializing in regulatory compliance.  To find out what to expect next year according to Cipperman, as well as Bao ...

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Fiduciary Rule Final Stand: ‘Please Rethink This’

The future of the fiduciary rule is up for grabs, again, and clients, advisers, and firms are jumping in to make their voices heard at a crucial moment.  Via a public commentary board, the Department of Labor is hearing feedback on whether it should make changes to the fiduciary rule and delay the regulation's second stage of implementation.  Scroll through to see some of the most passionate and insightful ...

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