How You Can Solve The Most Difficult DOL Rule Documentation Requirement
Today we are going to tackle one of the most difficult data challenges you will encounter in creating a best interest report. You are obligated to act in clients’ best...Read More
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
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
Breaking News on Rollovers: What DOL Really Did on April 5
We want to bring something very important to your attention regarding DOL Fiduciary Rule delay that was announced yesterday. The rule is delayed until June 9th and further examination of...Read More
“Arguably, the Most Comprehensive DOL Rule Solution”
Bob Veres researches DOL Fiduciary Rule software solutions and finds that “Arguably, the most comprehensive DOL Rule solution is IRAFiduciaryOptimizer, offered by RiXtrema”. Here is a link to his study:...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
Michael Kitces covers RiXtrema’s IRAFiduciaryOptimizer and FeeComp database
When we started building tools for advisors after working collectively for decades on software to institutions, I read Michael Kitces almost every day as a way to immerse myself into...Read More
What’s happening in Reg-BI Compliance Court?
With a Republican administration believing in small Federal government, I think it is safe to say that the SEC may defer to States to oversee and enforce Reg-BI’s new standards. With thousands of affected people in the financial services industry, this may make logistical sense. It means that RIA and BDs may experience different levels of scrutiny, depending on where they work.