Welcome to the
TDA4advisors Blog

We are excited to share a collection of relevant, timely, and insightful articles that can help you grow and strengthen your business. TD Ameritrade and leading industry experts will be contributing their unique perspectives on the challenges and opportunities that RIAs are facing today. Thank you for joining our community and we look forward to connecting with you!

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  • by Skip Schweiss
  • President, TD Ameritrade Trust Company
    Managing Director of Advisor Advocacy & Industry Affairs

Fiduciary standard back in the SEC spotlight

Just when you thought the Securities and Exchange Commission had shelved all work on the fiduciary standard, rules governing broker and adviser conduct are back in the spotlight.

Jay Clayton, who last year took over as SEC chairman, has declared that broker and adviser standards are a high priority for the coming year and that the commission could propose a new conduct rule as early as this spring.

The conventional wisdom says the SEC is eager to hammer out a rule before July 1, 2019, when remaining provisions of the Department of Labor’s Conflict of Interest Rule are scheduled to come into effect.  It is therefore possible that the SEC rule could play a role in how advisory firms comply with the DOL rule, fundamental provisions of which went into effect in 2017.

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  • by Kate Healy
  • Managing Director, Generation Next, TD Ameritrade Institutional

Make 2018 a Great Year — Start (or Improve) Your Internship Program

Welcome to January! If you’re like me, you try to make a few realistic resolutions for both your personal and professional life. But I’m not here to be your life coach. I just have one simple question: Is one of your goals to do a better job at attracting NextGen talent to your firm?

If this is on your top 10 list of things to improve in 2018 . . . good. Let’s get started. If it isn’t, read on because maybe it should be something you consider in the year ahead.

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  • by Kate Healy
  • Managing Director, Generation Next, TD Ameritrade Institutional

AdvoKate: Building the Future Is About More than Just Hiring

Freshly cleaned cube: check. System logins set up: check. Tour the break room and share parking info: check, check. Welcome aboard! Good luck and see you at your annual review. Now I can scratch “hire NextGen talent” from my to-do list.

Okay, that’s a bit extreme. But you get my point. We know it’s important to hire NextGen advisors (and I’ll remind you later of a few of those reasons). But developing people — fostering a meaningful, robust career — is a crucial piece of the puzzle that is lacking among RIA firms and I’m going to focus on today.

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