Election Worries?

By |2020-09-25T14:37:20+00:00September 25th, 2020|Blog|

By: Dan Gaugler Many of us are concerned about how the upcoming election might affect our financial plans.  Here are some high-level considerations: Investment Portfolio Management: 1. Elections can trigger an impulse to time the market.  They are an event we can see coming, unlike a surprise pandemic or natural disaster.  An attempt [...]

Fiduciary Standard vs Regulation BI

By |2020-09-18T21:55:16+00:00September 18th, 2020|Knowledge Center|

By: Brian Tullio In early 2018, the Securities and Exchange Commission (“SEC”) issued a set of proposals, known as Regulation Best Interest (“Regulation BI”), in an effort to lift the standard of conduct applicable to broker-dealers.  Despite thousands of public comment letters, rule revisions, and a lawsuit against its implementation (which is still [...]

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