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Monthly Archives: July 2019

Best Interest Rule Falls Short of Protecting Investors Best Interests by Todd A. Moll, CFP, CFA

Posted July 18, 2019

The SEC recently adopted a new Regulation Best Interest (Reg BI) standard code of conduct for stockbrokers and broker-dealers to follow when providing consumers with financial advice and investment recommendations. Unfortunately, the new rules do not go far enough to legally and morally bind brokers and their firms to the more rigorous fiduciary standard required […]

Joining an Independent Broker-Dealer Can Strengthen Financial Advisors’ Capabilities, Help to Improve Client Services by Eric Zeitlin

Posted July 10, 2019

Gone are the days when large, institutional banks and wirehouses were the only ones with pockets deep enough to arm financial advisors with the tools needed to attract and retain wealthy clients. Today, independent broker/dealers and registered investment advisories associated with independent wealth management firms have access to a wide array of customizable strategies and […]

Relatable Finance Episode 23 – Gambling vs Investing

Posted July 9, 2019

In this episode the relatable finance guys talk about gambling vs investing and how this plays into investing decisions.       The S&P 500 is an unmanaged index of 500 widely held stocks that is generally considered representative of the U.S. stock market. Index performance does not include transaction costs or other fees, which […]

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