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 […]
The 4-Corners of the DOL Fiduciary Rule as things stand TODAY!
Category: Regulatory Impact
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 […]
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 […]
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 […]
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 […]
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 […]