SEC Wants to ‘Keep Alive’ the ’40 Acts Through New Regs; Bogle Talks ETFs
At 75th anniversary event, Vanguard founder John Bogle and T. Rowe Price’s James Riepe debate ETF regulation; SEC Chief White talks about upcoming rules.
You’ve Got Mail ... Now What?
The inappropriate use of email can spell disaster for RIAs, but there are measures you can take to protect your firm.
How to Make Your Firm a Social Media Juggernaut
Building your business through social media requires a coordinated effort. Here's how to set expectations and equip your firm's advisors to build your brand.
Books and Records Infractions Still Big Problem for State-Registered Advisors
Other top problem areas for state-registered advisors: contracts, registration, fees and custody.
AIG Advisor Group Is ‘Island of Stability’ in BD Space: Exec
A number of broker-dealers are hitting potholes, but “this is our best recruiting year in seven years,” said SagePoint CEO Jeff Auld.
House Panel Sets Wednesday Markup on Bill to Halt DOL Fiduciary Rule
The Retail lnvestor Protection Act would force the DOL to wait for an SEC fiduciary rule.
CFP Board, FPA Advocates Agree on Likely Timetable for DOL Fiduciary Rule
Marilyn Mohrman-Gillis, Karen Nystrom think it likely DOL rule will be out this year, but SEC fiduciary rulemaking prospects still cloudy.
No Rules Yet, but Prepare Now
Regulatory issues that aren't getting the attention they need, argues MarketCounsel CEO Brian Hamburger.
What Is — or Isn't — Crowdfunding, Anyway?
Are all three of the provisions that were ushered in under the JOBS Act to ease restrictions on capital raising actually crowdfunding?
Treasury Considers Anti-Money Laundering Regs
Anti-money laundering requirements — are they coming soon to an advisory firm near you? Maybe, and perhaps as soon as some time in 2016.