• Home
  • About
    • Mike Walters
    • USA Financial
  • Blog
  • Podcast
  • Contact
Advisor Skinny

Category: Regulatory Impact

The 4-Corners of the DOL Fiduciary Rule as things stand TODAY!

March 19, 2018July 30, 2018Mike Walters 0
The 4-Corners of the DOL Fiduciary Rule as things stand TODAY!

Target Readers: Those confused by the DOL Fiduciary Rule and current news. Those in denial and/or not adhering to the current rule status. Those who […]

Read More

DOL Fiduciary Rule – Upheld – or Not!?!?

March 15, 2018July 30, 2018Mike Walters 1
DOL Fiduciary Rule – Upheld – or Not!?!?

Here’s the Skinny, The 10th District Court of Appeals just upheld the DOL Fiduciary Rule. It was “argued that the DOL rule treated fixed indexed […]

Read More

DOL Fiduciary Rule – Violation Charges – Proof the DOL Rule is “Live”

February 27, 2018July 30, 2018Mike Walters 2
DOL Fiduciary Rule – Violation Charges – Proof the DOL Rule is “Live”

Here’s the Skinny, As recently stated in the news, “Massachusetts charged Scottrade with dishonest and unethical conduct and failure to supervise, in what is the […]

Read More

FIA Insurance Companies have begun Auditing for PTE 84-24

February 12, 2018April 20, 2018Mike Walters 2
FIA Insurance Companies have begun Auditing for PTE 84-24

Here’s the Skinny, If you are not operating under BICE, you better have a PTE 843-24 document signed by clients and in your files for […]

Read More

DOL Rule Delay – What to Believe & NOT Believe!?!

December 18, 2017December 15, 2017Mike Walters 2
DOL Rule Delay – What to Believe & NOT Believe!?!

Here’s the Skinny… Many a false preacher exists when it comes to explaining the DOL Fiduciary Rule delay and its latest requirements. Depending upon the […]

Read More

Did You Get Abandoned (to Fend for Yourself) on DOL PTE 84-24?

August 29, 2017November 29, 2017Mike Walters 4
Did You Get Abandoned (to Fend for Yourself) on DOL PTE 84-24?

Here’s the Skinny… As it turns out, almost every institution, including BDs, RIAs, IMOs and insurance companies, abandoned their advisors to fend for themselves under […]

Read More

SUBSCRIBE