Eq: Total Market

Self-directed everyday investors (as well as advisors) are getting access to some pretty powerful tools. Listen to Jack Swift discuss how TIFIN uses AI to identify signals to improve the whole experience. 

You’ve heard of breakout seasons. Professional athletes have an affinity for them – especially as they’re about to become free agents.

Well, they just might want to scootch over. The FINRA 2022 Annual Conference session, “Regulation Best Interest: Lessons Learned” ranked as one of the most highly attended breakouts of the three-day conference, according to questce.com.

Someone; sign ‘em up.

Okay, then, in the world of putting Reg Bi into place, what was learned?

FINRA said it would soon review – and deeper – Reg Bi and Form CRS. In particular, they will put a magnifying glass on Care Obligation and the compliance among firms.

Meantime, some things don’t change.

Next year, Richard Best, head of the Division of Exams, Reg Bi and the Advisers Act fiduciary duty “remains a top priority” for Securities and Exchange Commission exams in an address to the SEC’s National Compliance Seminar, reported thinkadvisor.com.

Speaking to compliance officers, Best said: The exam division is “focused on how broker-dealers and investment advisors satisfy their obligations under the Reg BI and the Advisers Act fiduciary standard to act in the best interest of retail investors and not to place their own interests ahead of retail investors’ interest."

Good things come in…..fives?

Fives, undoubtedly, would second that.

Heading into the year, the following, you’re on it, five trends, impacted the asset allocation decisions of financial advisors in the decision they reached pertaining to their moderate model portfolios, according to Natixis Investment Managers Solutions, stated natixisimsolutuons.com.

Working both in real time and from a historical point of view, Natixis Investment Managers Solutions portfolio consultants monitor asset classes, investment products and market action

In any event, those top trends include:

  • Enthusiasm for Growth Stocks Is Fading. Moderate risk portfolios continued to reduce the …
  • Fixed Income Duration and Credit Quality Decreased. Over the course of 2021, duration in the …
  • Preference for Bank Loans Over High Yield Bonds. One of the more interesting trends in fixed …
  • Allocation to Inflation Protection Assets Starting to Rise. In 2021, as rising headline inflation …
  • Allocations to Alternative Investments Resumed Upward Trend

On another note, with the idea of tapping them as building blocks, ETFs are leveraged by model portfolios to oversee various investment companies, according to alphaprofit.com.

iShares, SPDR, and Vanguard ETFs as well as ETFs provided by Invesco PowerShares, Market Vectors, WisdomTree and other investment companies and among the ETF universe.

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