How to Retain Your Clients, and Your Sanity, When Switching Firms
Follow these five steps to help smooth the transition for your clients and their assets.
For Clients Selling Their Businesses, M&A Can Get Messy
Determining the anticipated proceeds of the sale of a client's business is not always as simple as it seems.
SEC Shows Off Cybersecurity Muscle Following EDGAR Breach
Still, there are questions on how many cases will be brought by the new cyber unit.
SEC Creating Searchable Database of Bad Brokers
The site “will be particularly valuable” for spotting fraudsters who have been stripped of their registrations, SEC Chairman Clayton said.
SEC OKs FINRA Rule on Capital Acquisition Brokers’ Pay-to-Play Activities
Government plan solicitors can “continue their activities on behalf of RIAs by submitting to the lighter CAB regulatory regime,” says Cipperman.
Tibergien’s Comments on RIAs Are Tough, but Deserve to Be Heard
The Pershing Advisor Solutions CEO's candid comments to me about the industry are sure to upset many RIAs.
After 6-Month Surge, RIA M&A Deals Drop Sharply in Q3: DeVoe
The quarter was the weakest the RIA industry has experienced in nearly three years.
Under Pressure, LPL Cuts Fees on Corporate RIA Platform
The news comes on the heels of more departures of reps acquired from LPL's purchase of NPH.
Wells Fargo Finally Launches Its Robo-Advisory Service
Intuitive Investor is available for clients with a minimum $10,000 in assets for a fee of 50 basis points.
DOL Rule Delay Will Likely Be Final in 3 Weeks: Acosta
Meanwhile, NAFA asks for a delay of oral arguments, while Thrivent wins some relief from anti-arbitration rules under BICE.