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Financial Industry Regulation

Apr 26
0

Advisors: It’s Time to Drop your Series 7

By Rob Schulz | All, Financial Industry Regulation, Leadership

You’ve still got time. Think of the DOL’s new fiduciary rules as a shot across the bow. Heed the warning, change course, and discover how rewarding this business can be…

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Apr 08
0

New DOL Regs: Business as Usual?

By Rob Schulz | All, Financial Industry Regulation

It’s inevitable, from working over twenty years in an industry like mine, you tend to get a little cynical. The ink is hardly dry on the new “fiduciary” standard promulgated by…

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Feb 26
0

5 Reasons to Fire your Financial Advisor

By Rob Schulz | All, Financial Industry Regulation, Financial Planning, Investing

updated April 25, 2018 If your advisor is not on the same page with you, it makes it harder to weather downturns. There are five very basic service points your…

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Apr 01
0

The Pay and Product Disconnect

By Rob Schulz | All, Financial Industry Regulation

Integrity is key. For Advisors, it’s easy to lose sight of integrity because the framework of the financial services industry creates conflicts of interest.  In many cases, there is a…

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Jul 01
0

Fiduciary Overkill

By Rob Schulz | All, Financial Industry Regulation, Investing

by Rob Schulz, CFP® April 20, 2011   The SEC is currently looking into authorizing a universal fiduciary-duty regulation under the Dodd-Frank financial reform law. If carried out this would…

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Jul 01
0

Fed Turns up the Heat on Wall Street

By Rob Schulz | All, Financial Industry Regulation

By: Rob Schulz, CFP® November 24, 2010 You may have noticed the headlines as the Securities Exchange Commission, FBI, and federal prosecutors wrap up what they call the largest insider…

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