FINRA Assumes Regulatory, Insider Trading Role for Options
Deal announced with CBOE and C2 Options exchanges will allow regulator to conduct cross-market surveillance on both options and equity insider trading.
What Advisors Can Learn From Selling a House in 2015
So I’m selling the house I’ve lived in for the past 22 years, and the experience is much different this time around.
And After Mobile?
First coined by Kevin Ashton at MIT in 1999, the Internet of Things (or the IoT) is defined by Cisco Systems as “the network of physical objects accessed through the Internet."
Robo-Cars for Retirees?
The United States changed socially, economically and even racially after World War II.
5 Disruptors That Will Change Advisors' Businesses
Independent financial advisors constitute a young profession, but they and their partners over the past 35 years—the years that this magazine has been published—have always helped shape societal trends, technology and regulation.
Where Do We Go From Here?
Predictions are inherently tricky business.
Wirehouse Advisors Now Lead the Way on Social Media, Putnam Finds
Social media compliance is becoming less of a headache, and more and more firms are seeing their efforts pay off in new assets.
Schwab’s Advisor, Retail Chiefs Talk Wealth Management
Bernie Clark of Schwab Advisor Services and Terry Kallsen of Schwab retail speak of Generation Now, robos and referrals.
Schwab Sees Bull Market Raging On in 2015, With Caveats
Data suggests continuance of secular bull market, say Liz Ann Sonders and colleagues, but watch out for energy junk bonds.
Fidelity Partners With Robo-Advisor LearnVest
Deal will give Fidelity IWS, National Financial advisors ‘preferred pricing’ and educational tools to reach ‘emerging’ and mass affluent clients.