Join Vanderbilt Blog

What's in a Name?

Posted by Vanderbilt Financial Group on 3/3/17 3:24 PM

SEC Chairman Michael Piwowar speaks out about the "terrible, horrible, no-good, very bad" Department of Labor Fiduciary Rule. 

Read More

Topics: Financial Advisors, Department of Labor, DOL Fiduciary Rule

DOL - Delayed or Dead?

Posted by Vanderbilt Financial Group on 2/9/17 10:52 AM

If you’re like us, you rejoiced last Friday (Feb 3, 2017) as you watched President Trump sign the Executive Order effectively taking a stand to dismantle the DOL Fiduciary Rule that has been on the minds’ of Financial Advisors across the country for over a year. We sighed a sigh of relief as we thought eliminating the impending rule would save us headaches, hurdles, and “Unintended Consequences”.


Read More

Topics: DOL Fiduciary Rule

What We Learned From an Unpredictable 2016

Posted by Vanderbilt Financial Group on 12/29/16 2:03 PM

2016 was a year full of surprises that caused Financial Advisors to feel a wide variety of emotions. To many, the unpredictable nature of 2016 conjured up many negative feelings of fear or dread in regards to the markets and our collective financial future. But as of late it seems the majority of 2016’s fears and downturns are being overcome.

Photo Credit: Lisa Benson, Slate

Read More

Topics: BREXIT, DOL Fiduciary Rule, Long Term Planning, Fed Rates

The Inside Scoop on The DOL

Posted by Vanderbilt Financial Group on 12/22/16 10:29 AM

On December 13th Vanderbilt Chief Compliance Officer, Barry Champney was invited to participate in a Round Table Discussion in New York City around the issue of The DOL Fiduciary Rule. Top CCO’s, CEO’s, Compliance Personnel, and Attorneys who are focusing on the DOL issue were invited to come together for a collaborative discussion to share insights and questions.

Read More

Topics: DOL Fiduciary Rule

Level Fees or BIC Exemption – How do I choose?

Posted by Vanderbilt Financial Group on 12/15/16 10:39 AM

Lisa Roth, of Monahan & Roth, LLC has been Vanderbilt’s key compliance consultant for many years and currently serves on several FINRA boards. This October she was the Keynote Speaker at Vanderbilt’s 2016 Annual Sales and Compliance Meeting. Her presentation, “Just the Fact’s Ma’am” focused on the DOL Fiduciary Rule and what it means for Financial Advisors. Here were just some of the highlights of the best rated talk of the day:

Read More

Topics: DOL Fiduciary Rule

Subscribe to Email Updates

Recent Posts