Finra officials delineate ‘good faith’ efforts to comply with Reg BI

Initial reviews will focus on whether firms have put in place policies, procedures and training
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Mercer notches third acquisition in 5 weeks

The purchase of Denver-based M.J. Smith and Associates was partially driven by the need for a succession plan
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Revamping portfolios with risk-smart, tax-smart building blocks

Investors are painfully aware their retirement plans need a do-over. Here’s the best approach
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Midwest megamerger creates $6.5 billion RIA

The combination of FormulaFolios and Brookstone brings together approximately 800 advisers operating in all 50 states, with more than 500 offices
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Empower’s Personal Capital acquisition highlights convergence of wealth and retirement

Retirement plan advisers should heed the implications of the deal
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