So You Want to Launch Your Own ETF?
With a strong idea, loyal clients or unique niche, today you could rightly say: “When I want to invest in an ETF, I launch one.”
S&P Suspended, Fined Almost $80 Million in SEC, State Cases
Standard & Poor’s agreed to be suspended from rating the biggest part of the commercial-mortgage bond market over claims it bent criteria to win business.
4 Steps to Get a Client—and a Prospect—to Trust You
Exploring why a client or prospect may have difficulty trusting an advisor, and what you can do about it.
Mass. Regulator Galvin Issues ‘Emergency’ Crowdfunding Exemption
The Massachusetts Securities Division said Thursday that it had adopted a crowdfunding exemption for offerings within the state.
Cangrade, Advisors Ahead Join Forces on Pre-Hire Screening Software
The software, Cangrade NextGen Insights, will allow Advisors Ahead to gauge how well a candidate will fit in.
Is a Single Advisor Dashboard Coming Your Way?
And is a single client portal in the offing as well? To get there, the Big Three advisor technology solutions must go beyond mere integration.
Fidelity App Makes Picking Stocks Like Picking a Restaurant
Fidelity has updated its iPhone, iPad and Android apps to allow investors to use the GPS on their phones to locate investment opportunities nearby.
Top 3 Advisor Challenges for 2015: Advisor FinTech, Regulation, Differentiation
Post-robo technology arises, a surprise new regulatory issue comes to the fore and fat-and-happy advisory firms faces the crisis of differentiation.
An Investor-Friendly Way to Switch Broker-Dealers
Advisors can use some creative techniques when telling clients why they changed broker-dealers or custodians. Start with your new firm's financials.
'Hide Not Slide' Orders Were Slippery and Hidden
What's behind the $14 million fine imposed by the SEC on Direct Edge's 'Hide Not Slide' order types.