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Community: Polls

  • November 8, 2018
    Will the SEC's Customer Relationship Summary Actually Work?

    The SEC has released investor testing results for the Customer Relationship Summary – part of its proposed Reg BI. Many said the Form CRS was helpful but confusion remains over types of financial professionals, fees, costs and conflicts of interest. Do you think the currently proposed Form CRS is acceptable?

    No Comments
  • April 24, 2018
    Would You Be Willing to Part with Your Advisor/Adviser Title?

    The proposed SEC Regulation Best Interest package would prohibit broker-dealers and their associated persons from referring to themselves as either “advisor” or “adviser” unless they are specifically also registered as investment advisors with the SEC. Are you willing to part with your advisor/adviser title?

    No Comments
  • March 20, 2018
    What’s Next for The DOL's Fiduciary Reform Rules?

    A recent court decision could put the Department of Labor out of the fiduciary-reform game in favor of the SEC, where such efforts are already underway. Or it could let a deregulation-minded administration smother the initiative altogether. Which outcome do you think is likelier?

    No Comments
  • March 12, 2018
    The Protocol Question You’ve Been Dying to Answer

    No matter where you actually work, let’s pretend you’re in the trenches at a captive brokerage. Would you be more or less likely to leave if your company left the Protocol for Broker Recruiting?

    No Comments
  • February 20, 2018
    Would You Self-Report Fee Violations to the SEC?

    The SEC is extending an amnesty to financial advisors who self-report fee violations before June 12 and return funds to harmed investors. The watchdog won’t recommend financial penalties for advisors who self-report receipt of 12b-1 fees in recommending mutual fund share classes when lower-priced share classes of the same mutual fund were available. If you had fee violations, would you self-report them to the regulator?

    No Comments
  • February 6, 2018
    Are We Headed For An Almighty Correction?

    After significant falls in equity markets Friday, the Dow Jones Industrial Average closed Monday down 4.6%, the S&P 500 index had its worst percentage fall since August 2011, and the Nasdaq fell 3.8 per cent. Do you see the significant market declines of the past few days as the start of a more pronounced correction?

    No Comments
  • January 2, 2018
    What Will Be the Biggest Investment Trends in 2018?

    With the Dow and the S&P 500 seemingly unstoppable in 2017, what will be the defining market qualities this year?

    No Comments
  • December 19, 2017
    Who Owns Customer Accounts in the Financial Advisory Industry?

    The who-owns-the-customer debate has resurfaced in the financial advisory industry because of the recent exits by Morgan Stanley and UBS from the Protocol for Broker Recruiting. In your opinion, who owns the customers, their account information and the right to service their assets?

    Last Comment: December 19, 2017
  • November 21, 2017
    What Are Your Thanksgiving Plans?

    For clients and advisors alike, it's one of the shortest work weeks of the year and a time for big family get-togethers. What are your holiday plans this week?

    No Comments
  • October 31, 2017
    With Morgan Stanley Out, Will More Firms Leave the Broker Protocol?

    Morgan Stanley has revealed it's pulling out of the Broker Protocol, which protects registered representatives who move from one signatory firm to another. With a major wirehouse ditching the agreement, will others follow? Tell us in the comments section what you think about Morgan Stanley's move.

    Last Comment: November 3, 2017
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