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Defining a Fiduciary

We’ve posted in detail the activities in Washington regarding the DOL Fiduciary Rule and whether it is truly dead. And now, states like Massachusetts, New Jersey, and Nevada are pursuing their own state-specific fiduciary rules. But those not deeply ingrained in the investing world may not fully comprehend the scope of that activity because of […]

The Parties Involved with Your Self-Directed IRA

About a year ago, we posted an article identifying the similarities between digital currency and precious metals investments. For those interested in digital asset investing, we identified the parties involved in both classes to help them get started. In this exclusive blog post, we identify the parties involved in Self-Directed IRA investments to help clear […]

SEC Approves New Advice Reform Package with Reg BI and Form CRS

As noted in our most recent post, significant changes are coming to the investment advice industry. Not unsurprisingly, the Securities & Exchange Commission (SEC) voted last week to adopt a major advice reform package. The package includes Regulation Best Interest (Reg BI), as well as Form CRS. The SEC states the package is designed to […]

Updates on SECURE, RESA, Reg BI, and the Fiduciary Rule

On the heels of seeming confirmation of a fiduciary rule revival comes a barrage of other activity in Washington. Thanks to the efforts of Congress, the Securities & Exchange Commission (SEC), and Department of Labor (DOL), retirement and non-retirement account holders alike could see significant changes coming to the industry. The SECURE and RESA bills, […]

Fiduciary Rule Already Making a Comeback?

Well, here we go again. Last week, Department of Labor (DOL) Secretary Alexander Acosta seemed to confirm the DOL is working to revive the department’s fiduciary rule. Barely a year ago, the previous fiduciary rule was struck down by the 5th Circuit Court. The rule would have required brokers to act in the best interest […]

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