Which FINRA regulations are part of the DOL Rule best interest report requirements?
Traditionally, courts and the DOL find some key elements to be most important, in regard to facts and circumstances presented by advisors in their attempts to make prudent decisions. In...Read More
RiXtrema Launches Fiduciary Checklist
Original Article from Javier Simon at PlanAdviser can be read HERE The checklist covers various fiduciary responsibilities including those not associated with supposed delays or changes to the fiduciary rule, RiXtrema...Read More
The Department of Labor’s Fiduciary Rule – Three Issues to Consider if you Advise IRAs
By Guest Bloggers, Robert L. Sichel and Amanda M. Katlowitz of K&L Gates According to the Investment Company Institute, at the end of the first quarter of 2017, assets in IRAs...Read More
DOL Fiduciary Rule Best Interest Requirements: Creditor Protection in ERISA Plans
Is it important to factor in safety from creditors during a 401(k) rollover? How safe was the money in the 401(k) and how safe will it be in an IRA?...Read More
DOL Fiduciary Rule Groundhog Day: What Just Happened & What It Means For You
For those participating in the financial advice industry, it might seem like living out the movie Groundhog Day. Except instead of Bill Murray, the star of the movie is Alexander...Read More
What June 9th DOL Rule Date Means For You: How to Not Be a Low Hanging Fruit for Litigation Attorneys
What June 9th DOL Rule Date Means For You: How to Not Be a Low Hanging Fruit for Litigation Attorneys On May 22, Secretary of Labor Acosta confirmed something that...Read More
RiXtrema in Journal of Fin Planning: DOL Rule Compliance & a Secret Revealed…
Journal of Financial Planning ran a very interesting cover story on advisor technology. RiXtrema’s Don Harding and Daniel Satchkov both answered questions for the magazine. Daniel talked about crucial components...Read More