While the obvious "big challenge" the agency faces is implementing the scads of changes set out in the reform bill, the SEC is already busy setting up new offices at the securities regulator to police the market. The SEC announced on July 16 that the SEC will create three new specialized units within the agency's Division of Corporation Finance--the division that reviews public company filings--to focus on large financial institutions, asset-backed securities and other structured products, and securities offering trends.
ThinkAdvisor's TechCenter is an educational resource designed to give you a competitive edge by keeping you abreast of new tech innovations and need-to-know information that can be applied to your business.
Consider the benefits of converting to a fee-based model, along with comparing it to a commission structure.
We've developed strategic and tactical workflows to help you get easy, flexible workflows to help you through most scenarios.
This guide is designed to provide an overview of the benefits of incorporating charitable giving into your financial planning including common techniques to maximize philanthropic,...
Dec 13, 2016
Join this complimentary webcast that will provide a deeper appreciation for these client segments and their needs, and show how advisors can offer protection and...
Dec 08, 2016
Join this complimentary webcast to hear best practices and next steps for operating effectively in the face of fiduciary regulations.
Nov 30, 2016
Join this complimentary webcast that will provide cybersecurity tips for compliantly protecting firm & client data.