A New Way to Bid for the 401(k)
The onerous requirements of soliciting retirement plan gigs with Morgan Stanley led Ariana Amplo to launch an eRFP matching plan sponsors with advisors.
Cold Call Script Writing Lesson
Let's look closely at these two scripts.
SEC Charges Marketing Company With International Ponzi Scheme
An international pyramid scheme raised more than $129 million worldwide, the SEC said, charging two execs with fraud.
A 5-Step Process to Utilize Your Existing Technology: Level 5—Cross Application Automation
In your practice, how to reap the benefits of cross application workflow automation.
Would Your Firm’s Cybersecurity Policy Meet Regulatory Muster?
Law firm Stark & Stark has teamed with Right Size Solutions to ensure that its 900-plus advisory firm clients’ cybersecurity policies withstand regulatory scrutiny.
3 Tips to Avoid Social Media Compliance Problems
No matter what social media platform advisors use, here are some important tips for staying compliant.
Morgan Stanley to Absorb Customer Losses After Mutual Fund Snafu
Morgan Stanley will offer to swallow some losses incurred by customers who bought mutual funds after failing to make fund prospectuses accessible online.
Schorsch’s RCAP to Take Big Stake in E-Document Firm Docupace
The Docupace investment is intended to help affiliated independent advisors streamline workflow while bringing RCAP a recurring revenue stream.
Retirement Industry Plans National Ad Campaign
Some of the industry’s biggest players are gathering this week to lay the groundwork for a campaign aimed at turning more Americans into “super savers.”
New Digital Currency Council to Establish Best Practices
The former CEO of the Institute for Private Investors has just launched the Digital Currency Council.