Skip to Content

About

Updated weekly

Have an idea for the Fi360 blog?
Send us your question or comment
to blog@fi360.com

Subscribe to the Fi360 Blog

In a reader RSS

Stay Connected to Fi360

Fiduciary Links: fi360 Insights Conference Week

Posted by on April 15, 2013 in Fiduciary Links

>>>>It’s fi360 Conference week once again! The fi360 team has already begun arriving in Scottsdale and our pre-conference training sessions have already begun. The conference itself begins in earnest on Wednesday afternoon with attendee checkin and the evening networking reception. That’s followed by two days of educational content on Thursday and Friday. Our two general sessions this year are Nate Silver and a panel of fiduciary experts, including our own CEO Blaine Aikin, Ron Rhoades of Alfred State College, and Skip Schweiss from TD Ameritrade. Nate Silver will be doing a session...

Fiduciary Links: fi360 Insights Conference Week

Permalink | Comments (0)     

Fiduciary Links: GAO Report Brings Attention to IRA Rollovers

Posted by fi360 Team on April 08, 2013 in

>>>>IRA rollovers were the big, fiduciary-related story of last week, as the GAO released a report suggesting many providers were recommending IRA rollovers for participants leaving a company without much consideration to the particular facts and circumstances related of that investor. In most cases, participants have very little information available to them that provides straightforward pros and cons of their available options. In addition, they found that the process of a plan-to-plan rollover from the old company to a new company’s 401(k) plan presents some obstacles. Among the suggestions of the report is to...

Fiduciary Links: GAO Report Brings Attention to IRA Rollovers

Permalink | Comments (0)     

Fiduciary Links: Aikin Comments on Unusual Actions of the SEC & Final Survey Call

Posted by fi360 Team on April 01, 2013 in

>>>>In his most recent column for InvestmentNews, SEC on a Fiduciary Fishing Expedition, fi360 President & CEO Blaine Aikin commented upon the recent, unusual actions of the SEC. The agency issued a "request for data and other information" in advance of proposing a rule. The rule is one that would affect that standard of care given to retail customers by broker-dealers and investment advisers when providing personalized investment advice about securities. Aikin wrote, "That the SEC finds itself unable or unwilling to formulate a rule on this issue is troubling."  In Aikin's column it...

Fiduciary Links: Aikin Comments on Unusual Actions of the SEC & Final Survey Call

Permalink | Comments (0)     

Fiduciary Links: Is a National Association of Registered Agents and Brokers in our Future?

Posted by on March 25, 2013 in

>>>>While sorting out how the SEC, FINRA, the states, or other will be overseeing advisors in the future continues to drag out indefinitely, Congress may be fast tracking a new organization into the insurance oversight chain. In a hearing last week, the Senate Banking Committee heard testimony on proposed legislation that would create the National Association of Registered Agents and Brokers. The organization would allow insurance agents and brokers to register with the organization in order to be licensed to sell products in all states. Some are likening this to a self-regulatory organization, while supporters say...

Fiduciary Links: Is a National Association of Registered Agents and Brokers in our Future?

Permalink | Comments (0)     

Fiduciary Links: SEC Makes it Hard to Read Fiduciary Tea Leaves in Data Request

Posted by on March 18, 2013 in Fiduciary Links

>>>>On March 1, the Securities and Exchange Commission released a much-anticipated request for cost-benefits data in connection with a possible uniform fiduciary rule for brokers and advisers. By requesting data, many observers had hoped that the assumptions used would reveal the SEC’s thinking on the rule’s parameters. Anticipating such speculation, the release relies heavily on disclaimers to discourage any notion that the assumptions for a fiduciary standard and rules harmonizing broker and adviser regulation suggest the agency's future course of action. Where the SEC release makes assumptions it provides no less than 10...

Fiduciary Links: SEC Makes it Hard to Read Fiduciary Tea Leaves in Data Request

Permalink | Comments (0)     

Back to top