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Annuities And The Fiduciary Rules
I have often written about the “evils of annuities.” In my experience, I have seen annuities sold: Within retirement...
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Plain-English Translation Of SEC Official's Speech To RIA CCOs
On October 15, Andrew J. "Buddy" Donohue, Chief of Staff at the U.S. Securities and Exchange Commission, put chief compliance officers at...
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Office 365 For Advisor Compliance
When you open a document in Office 365 that was edited by another user, or by you on another device, all of the changes are highlighted in...
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RIA Data Security Webinar By Compliance Whiz Chris Winn Receives A 4.7 Rating From Attendees
RIA data-security practices, one of the touchiest topics of our time, was the subject of this week’s A4A webinar. Chris Winn, an authoritative...
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SEC Warns Never Before Examined Advisors - We're Coming!
Are you ready for an SEC Exam? If you are SEC registered and have yet to receive an exam, you better prepare. For months the SEC has...
Fiduciary standard, Commission
The New Fiduciary Rules: Good Or Bad?
Client education, Annuities
Annuities And The Fiduciary Rules
Highlight Article
Plain-English Translation Of SEC Official's Speech To RIA CCOs
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Would be great if the questions that come up for the live seminar for CPA credits could... - Downwardog on Everything An Investment Fiduciary...
informative and useful - Agluck on 2016 CFP Ethics Class And Quiz Now...
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